Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) and each time the Company: (i) amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker or supplement but not by means of incorporation of document(s) by reference into the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K); (iii) files a quarterly report on Form 10-Q under the Exchange Act; or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is “furnished” pursuant to Item 2.02 or Item 7.01 of Form 8-K) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effect, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which the Company relied on the waiver referred to in the previous sentence and did not provide the Agents with a certificate under this Section 7(m), then before the Company delivers a Placement Notice or the Agents sell any Placement Shares pursuant thereto, the Company shall provide the Agents with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 3 contracts
Sources: Sales Agreement (Compass Therapeutics, Inc.), Sales Agreement (Rapport Therapeutics, Inc.), Sales Agreement (Vaxart, Inc.)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Shares are sold pursuant to the terms of this agreement Agreement and (the “First Placement Notice Date”A) and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l7(m) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-K, and other than a report on Form 8-K containing financial information of a tenant of the Company or its subsidiaries) under the Exchange Act and (B) (i) upon recommencement of sales after a suspension in accordance with Section 4 hereof or (ii) upon delivery of a notice to ▇▇▇▇▇▇▇ ▇▇▇▇▇ that the Company intends to recommence sales after a Suspension Period in accordance with Section 7(l) hereof and as reasonably requested (each date of filing of one or more of the documents referred to in clauses (iA)(i) through (iv) and any date of recommencement after a suspension referred to in clause (B)(i) and (B)(ii) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ with a certificate, in the form attached hereto as Exhibit 7(m7(n) within three (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 3) Exchange Trading Days of any Representation DateDate if requested by ▇▇▇▇▇▇▇ ▇▇▇▇▇. The requirement to provide a certificate under this Section 7(m7(n) shall be is hereby waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date; provided however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K; provided, further, however, that the obligation of the Company under this Section 7(n) shall be deferred during any Suspension Period and shall recommence upon the termination of such Suspension Period. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents ▇▇▇▇▇▇▇ with a certificate under this Section 7(m7(n), then before the Company delivers a the Placement Notice or the Agents sell ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇ any Placement Shares pursuant theretoShares, the Company shall provide the Agents ▇▇▇▇▇▇▇ ▇▇▇▇▇ with a certificate, in the form attached hereto as Exhibit 7(m7(n), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 3 contracts
Sources: Equity Distribution Agreement (Empire Petroleum Corp), Equity Distribution Agreement (Applied Optoelectronics, Inc.), Equity Distribution Agreement (Applied Optoelectronics, Inc.)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to of this agreement (the “First Placement Notice Date”) Agreement and each time the Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
(ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended that contains restated financial information or a material amendment to the previously filed Form 10-Kstatements);
(iii) files a quarterly report on Form 10-Q under the Exchange Act; or
(iv) files a current report on Form 8-K containing amended audited financial information (other than an earnings release that is information “furnished” pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall will be a “Representation Date”), ; the Company shall will furnish the Agents Aegis (but in the case of clause (iv) above only if (1) a Placement Notice is pending or Aegis reasonably determines that the information contained in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commissionis material) with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. A. The requirement to provide a certificate under this Section 7(m7(l) shall will be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall will continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall will be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver will not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Aegis with a certificate under this Section 7(m7(l), then before the Company delivers a the Placement Notice or the Agents sell Aegis sells any Placement Shares pursuant theretoShares, the Company shall will provide the Agents Aegis with a certificate, in the form attached hereto as Exhibit 7(m)A, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 3 contracts
Sources: At the Market Issuance Sales Agreement (Expion360 Inc.), At the Market Issuance Sales Agreement (Inno Holdings Inc.), At the Market Issuance Sales Agreement (Singing Machine Co Inc)
Representation Dates; Certificate. On or prior to During the term of this Agreement, on the date on which the Company first delivers a of each Placement Notice pursuant to this agreement (the “First Placement Notice Date”) given hereunder, and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 1020-K F or 40-F under the Exchange Act (including any Form 10-K/A containing amended financial information Act; or a material amendment to the previously filed Form 10-K);
(iii) files a quarterly report on Form 10-Q under the Exchange Act; or
(iv) files a current report on Form 86-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item 2.02 or Item 7.01 Form 6-K relating to the reclassifications of Form 8-Kcertain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iviii) shall be a “Representation Date”), ; the Company shall furnish the Agents Canaccord (but in the case of clause (iviii) above only if (1) a Placement Notice is pending or Canaccord reasonably determines that the financial information contained in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 86-K with the Commissionis material) with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. A. The requirement to provide a certificate under this Section 7(m7(n) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 20-F or 40-F. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Canaccord with a certificate under this Section 7(m7(n), then before the Company delivers a the Placement Notice or the Agents sell Canaccord sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents Canaccord with a certificate, in the form attached hereto as Exhibit 7(m)A, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 3 contracts
Sources: Equity Distribution Agreement (Sundial Growers Inc.), Equity Distribution Agreement (Sundial Growers Inc.), Equity Distribution Agreement (Sundial Growers Inc.)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) is given hereunder and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than (A) a prospectus supplement filed in accordance with Section 7(l) of this AgreementAgreement or (B) a supplement or amendment that relates to an offering of securities other than the Placement Shares) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
; (iii) files a quarterly report on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Company shall furnish the Sales Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business (3) Trading Days after the filing of such Form 8-K with the Commission) each Representation Date with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Sales Agents with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Sales Agents sell any Placement Shares pursuant theretoShares, the Company shall provide the Sales Agents with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 3 contracts
Sources: Sales Agreement (Scilex Holding Co), Sales Agreement (Scilex Holding Co), Sales Agreement (Sorrento Therapeutics, Inc.)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) and each time the Company:
(i) amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker or supplement but not by means of incorporation of document(s) by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
(ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files a quarterly report on Form 10-Q under the Exchange Act; or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release information that is “furnished” pursuant to Item 2.02 or Item 7.01 of Form 8-K) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Company shall furnish the Agents Agent (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request Agent requests such certificate within three Business Days after the filing of such Form 8-K with the Commission) with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effect, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which the Company relied on the waiver referred to in the previous sentence and did not provide the Agents Agent with a certificate under this Section 7(m), then before the Company delivers a Placement Notice or the Agents sell Agent sells any Placement Shares pursuant thereto, the Company shall provide the Agents Agent with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents Agent such further information, certificates and documents as the Agents Agent may reasonably request.
Appears in 3 contracts
Sources: Sales Agreement (Disc Medicine, Inc.), Sales Agreement (HOOKIPA Pharma Inc.), Sales Agreement (HOOKIPA Pharma Inc.)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) and each Each time the Company:
: (i) (A) files the Prospectus relating to the Placement Shares, or (B) amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker or supplement supplement, but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is “information "furnished” " pursuant to Item Items 2.02 or Item 7.01 of Form 8-K) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “"Representation Date”"), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) Agent with a certificate, in the form attached hereto as Exhibit 7(mSchedule 7(l) within five (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 5) Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m7(l) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Agent with a certificate under this Section 7(m7(l), then before the Company delivers a the Placement Notice or the Agents sell Agent sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents Agent with a certificate, in the form attached hereto as Exhibit 7(mSection 7(l), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 3 contracts
Sources: Capital on Demand Sales Agreement (Preferred Apartment Communities Inc), Capital on Demand Sales Agreement (Preferred Apartment Communities Inc), Capital on Demand Sales Agreement (Preferred Apartment Communities Inc)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) Delivery Date and each time the Company:
Company subsequently thereafter during the term of this Agreement: (i) files the Prospectus relating to the Placement Shares, (ii) amends or supplements the Registration Statement or the Sales Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement)) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
Sales Prospectus; (iiiii) files an annual report on Form 10-K under the Exchange Act Act; (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iiiiv) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (ivv) files a current report on Form 8-K containing amended financial information (other than a filing made in connection with the issuance of an earnings release that is or other information “furnished” pursuant to under Item 2.02 or Item 7.01 of Form 8-K) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (ivv) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K ▇▇▇▇▇ with the Commission) with a certificatecertificates, in the form forms attached hereto as Exhibit 7(m) within three (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 3) Trading Days of any after such Representation DateDate if requested by ▇▇▇▇▇. The requirement to provide a certificate the certificates under this Section 7(m) shall be automatically waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date that is the date on which the Company files its annual report on Form 10-K; and provided, further, that the requirement to provide the certificate of the Chief Financial Officer of the Company under this Section 7(m) shall be automatically waived for each Representation Date unless the Comfort Letter provided with respect to such Representation Date does not cover all financial information and other matters ordinarily covered by accountants’ “comfort letters” to ▇▇▇▇▇ in connection with registered public offerings. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents ▇▇▇▇▇ with a certificate certificates under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell ▇▇▇▇▇ sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents ▇▇▇▇▇ with a certificatecertificates, in the form forms attached hereto as Exhibit 7(m), each dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 3 contracts
Sources: Sales Agreement (Albireo Pharma, Inc.), Sales Agreement (Albireo Pharma, Inc.), Sales Agreement (Albireo Pharma, Inc.)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) Delivery Date and each time the Company:
Company subsequently thereafter (i) amends or supplements the Registration Statement or the Sales Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
Sales Prospectus; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is information “furnished” pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) ▇▇▇▇▇ with a certificate, in the form attached hereto as Exhibit 7(m) within three (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 3) Trading Days of any Representation DateDate if requested by ▇▇▇▇▇. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents ▇▇▇▇▇ with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell ▇▇▇▇▇ sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents ▇▇▇▇▇ with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 3 contracts
Sources: Sales Agreement (Trevena Inc), Sales Agreement (Trevena Inc), Sales Agreement (Trevena Inc)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) and each Each time the Company:
: (i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
; (iii) files a quarterly report on Form 10-Q under the Exchange Act; or
Act or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is information “furnished” pursuant to Item 2.02 Items 2.02, 7.01 or Item 7.01 9.01 of Form 8-K) K under the Exchange Act Act) (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) Agent with a certificate, in the form attached hereto as Exhibit 7(mB within three (3) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of following any Representation Date, unless waived. The requirement to provide a certificate under this Section 7(m7(l) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or a suspension is in effecteffect in accordance with Section 4, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Agent with a certificate under this Section 7(m7(l), then before at such time as the Company delivers a the Placement Notice or Notice, and in any event prior to the Agents sell Agent’s sale of any Placement Shares pursuant theretoShares, the Company shall provide the Agents Agent with a certificate, in the form attached hereto as Exhibit 7(m)B, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 3 contracts
Sources: Sales Agreement (Watsco Inc), Sales Agreement (Watsco Inc), Sales Agreement (Watsco Inc)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) and each time the Company:
(i) amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker or supplement but not by means of incorporation of document(s) by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
(ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files a quarterly report on Form 10-Q under the Exchange Act; or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is “furnished” pursuant to Item 2.02 or Item 7.01 of Form 8-K) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Company shall furnish the Agents Agent (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request Agent requests such certificate within three Business Days after the filing of such Form 8-K with the Commission) with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two three Trading Days of after any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effect, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which the Company relied on the waiver referred to in the previous sentence and did not provide the Agents Agent with a certificate under this Section 7(m), then before the Company delivers a Placement Notice or the Agents sell Agent sells any Placement Shares pursuant thereto, the Company shall provide the Agents Agent with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such Placement Notice. Within two three Trading Days of after each Representation Date, the Company shall have furnished to the Agents Agent such further information, certificates and documents as the Agents Agent may reasonably request.
Appears in 3 contracts
Sources: Sales Agreement (Trevi Therapeutics, Inc.), Sales Agreement (Trevi Therapeutics, Inc.), Sales Agreement (Trevi Therapeutics, Inc.)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Shares are sold pursuant to the terms of this agreement Agreement and:
(the “First Placement Notice Date”1) and each time the Company:
(i) files the Prospectus relating to the Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
(ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K)Act;
(iii) files a quarterly report on Form 10-Q under the Exchange Act; or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is to “furnishedfurnish” information pursuant to Item 2.02 or Item 7.01 of Form 8-KK (including in an earnings release)) under the Exchange Act Act; and
(2) at any other time reasonably requested by the Agents, the Forward Sellers or the Forward Purchasers (each such date of filing of one or more of the documents referred to in clauses (iSection 8(o)(1) through (ivand any time of request pursuant to this Section 8(o)(2) shall be a “Representation Date”), the Company shall furnish the Agents (but in Agents, the case of clause (iv) above only if (1) a Placement Notice is pending or in effect Forward Sellers and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) Forward Purchasers with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented)F, within two Trading Days of following any Representation DateDate (except in the case of a waiver under the following sentence (a “Waiver”), in which case such certificate shall be furnished with or preceding the relevant Placement Notice). The requirement to provide a certificate under this Section 7(m8(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending or in effectpending, which waiver Waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date). Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the waiver referred to in the previous sentence such Waiver and did not provide the Agents Agents, the Forward Sellers and the Forward Purchasers with a certificate under this Section 7(m8(o), then then, before the Company delivers a the Placement Notice or the Agents sell any Agent or Forward Seller sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents Agents, the Forward Sellers and the Forward Purchasers with a certificate, in the form attached hereto as Exhibit 7(m)F, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 3 contracts
Sources: Equity Distribution Agreement (CMS Energy Corp), Equity Distribution Agreement (CMS Energy Corp), Equity Distribution Agreement (CMS Energy Corp)
Representation Dates; Certificate. On or prior to the date on which First Delivery Date and thereafter, during the Company first delivers a Placement Notice pursuant to term of this agreement (the “First Placement Notice Date”) and Agreement, each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is information “furnished” pursuant to Item Items 2.02 or Item 7.01 of Form 8-K) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) Cowen with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two (2) Trading Days of any Representation DateDate if requested by Cowen. The requirement to provide a certificate under this Section 7(m) shall be automatically waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Cowen with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell Cowen sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents Cowen with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 3 contracts
Sources: Sales Agreement (Synlogic, Inc.), Sales Agreement (Synlogic, Inc.), Sales Agreement (Synlogic, Inc.)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Shares are sold pursuant to the terms of this agreement (the “First Placement Notice Date”) Agreement and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares, amends or supplements the Registration Statement or supplements the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l8(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company and the Manager shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) CF&Co with a certificate, in the form attached hereto as Exhibit 7(m8(m) within three (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 3) Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m8(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents CF&Co with a certificate under this Section 7(m8(m), then before the Company delivers a the Placement Notice or the Agents sell CF&Co sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents CF&Co with a certificate, in the form attached hereto as Exhibit 7(m8(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 3 contracts
Sources: Sales Agreement (American Capital Agency Corp), Sales Agreement (American Capital Agency Corp), Sales Agreement (American Capital Agency Corp)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to of this agreement (the “First Placement Notice Date”) Agreement and each time the Company:
(i) files the Prospectus relating to the Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
(ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is information “furnished” pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each Act. Each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), .” the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) CF&Co with a certificate, in the form attached hereto as Exhibit 7(mD within three (3) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m7(n) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents CF&Co with a certificate under this Section 7(m7(n), then before the Company delivers a the Placement Notice or the Agents sell CF&Co sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents CF&Co with a certificate, in the form attached hereto as Exhibit 7(m)D, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 3 contracts
Sources: Equity Distribution Agreement (Essex Property Trust Inc), Equity Distribution Agreement (Essex Property Trust Inc), Equity Distribution Agreement (Essex Property Trust Inc)
Representation Dates; Certificate. On or prior (1) Prior to the date on which of the Company first delivers a Placement Notice pursuant to this agreement and (the “First Placement Notice Date”2) and each time the Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
(ii) files an annual report Annual Report on Form 1020-K F under the Exchange Act (including any Form 1020-KF/A containing amended financial information or a material amendment to the previously filed Form 1020-KF);
(iii) files a its quarterly report results of operations on Form 106-Q K under the Exchange Act; or
(iv) furnishes or files a current report on Form 86-K containing amended financial information (other than an earnings release that is “furnished” pursuant to Item 2.02 or Item 7.01 of Form 8-K) under the Exchange Act that is incorporated by reference into the Registration Statement; (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date.”), ) the Company shall furnish the Agents Agent (but in the case of clause (iv) above only if (1) a Placement Notice is pending or the Agent reasonably determines that the information contained in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 86-K with the Commissionis material) with a certificatecertificate within five (5) Trading Days of each Representation Date, in the form attached hereto as Exhibit 7(m) (7(l), modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m7(1) shall be waived for any Representation Date occurring at a time at which no a Placement Notice is not pending or a suspension is in effect, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a instructions for the sale of Placement Notice Shares hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which the Company relied on the waiver referred to when a Placement Notice was not pending or a suspension was in the previous sentence effect and did not provide the Agents Agent with a certificate under this Section 7(m7(l), then before the Company delivers a the instructions for the sale of Placement Notice Shares or the Agents sell Agent sells any Placement Shares pursuant theretoto such instructions, the Company shall provide the Agents Agent with a certificate, certificate in the form attached hereto conformity with this Section 7(l) dated as Exhibit 7(m), dated of the date that the instructions for the sale of such Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably requestShares are issued.
Appears in 3 contracts
Sources: Capital on Demand Sales Agreement (Galmed Pharmaceuticals Ltd.), Capital on Demand Sales Agreement (Galmed Pharmaceuticals Ltd.), Capital on Demand Sales Agreement (NeuroSense Therapeutics Ltd.)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Shares are sold pursuant to the terms of this agreement (the “First Placement Notice Date”) Agreement and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l7(m) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information statements (other than an earnings release that is “furnished” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-K) K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144), or financial statements required by Rule 3-14 of Regulation S-X, under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) CF&Co with a certificate, in the form attached hereto as Exhibit 7(m7(n) within three (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 3) Trading Days of any Representation DateDate if requested by CF&Co. The requirement to provide a certificate under this Section 7(m7(n) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents CF&Co with a certificate under this Section 7(m7(n), then before the Company delivers a the Placement Notice or the Agents sell CF&Co sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents CF&Co with a certificate, in the form attached hereto as Exhibit 7(m7(n), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 3 contracts
Sources: Sales Agreement (Healthcare Realty Trust Inc), Sales Agreement (Healthcare Realty Trust Inc), Sales Agreement (Healthcare Realty Trust Inc)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) and each time the Company:
(i) amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker or supplement but not by means of incorporation of document(s) by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
(ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files a quarterly report on Form 10-Q under the Exchange Act; or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is “furnished” pursuant to Item 2.02 or Item 7.01 of Form 8-K) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Company shall furnish the Agents Agent (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request Agent requests such certificate within three Business Days after the filing of such Form 8-K with the Commission) with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two three Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effect, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K). Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which the Company relied on the waiver referred to in the previous sentence and did not provide the Agents Agent with a certificate under this Section 7(m), then before the Company delivers a Placement Notice or the Agents sell Agent sells any Placement Shares pursuant thereto, the Company shall provide the Agents Agent with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such Placement Notice. Within two three Trading Days of each Representation Date, the Company shall have furnished to the Agents Agent such further information, certificates and documents as the Agents Agent may reasonably request.
Appears in 3 contracts
Sources: Sales Agreement (Axsome Therapeutics, Inc.), Sales Agreement (Axsome Therapeutics, Inc.), Sales Agreement (Axsome Therapeutics, Inc.)
Representation Dates; Certificate. On or prior to the date on which of the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) and each time the Company:
Company subsequently thereafter (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is “furnished” pursuant to Item 2.02 or Item 7.01 of Form 8-Krelease) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) ▇▇▇▇▇ with a certificate, in the form attached hereto as Exhibit 7(m) within three (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 3) Trading Days of any Representation DateDate if requested by ▇▇▇▇▇. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents ▇▇▇▇▇ with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell ▇▇▇▇▇ sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents ▇▇▇▇▇ with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 3 contracts
Sources: Sales Agreement (Cempra, Inc.), Sales Agreement (Cempra, Inc.), Sales Agreement (Tranzyme Inc)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Shares are sold pursuant to the terms of this agreement (the “First Placement Notice Date”) Agreement and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l7(m) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) CF&Co with a certificate, in the form attached hereto as Exhibit 7(m7(n) within three (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 3) Trading Days of any Representation DateDate if requested by CF&Co. The requirement to provide a certificate under this Section 7(m7(n) shall be is hereby waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents CF&Co with a certificate under this Section 7(m7(n), then before the Company delivers a the Placement Notice or the Agents sell CF&Co sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents CF&Co with a certificate, in the form attached hereto as Exhibit 7(m7(n), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 3 contracts
Sources: Sales Agreement (Lexington Realty Trust), Sales Agreement (Anworth Mortgage Asset Corp), Sales Agreement (Anworth Mortgage Asset Corp)
Representation Dates; Certificate. On or prior to the date on which First Delivery Date and thereafter, during the Company first delivers a Placement Notice pursuant to term of this agreement (the “First Placement Notice Date”) Agreement, and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is or other information “furnished” pursuant to Item Items 2.02 or Item 7.01 of Form 8-K) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or pending, (2) the Agents reasonably determine that the information contained in effect such Form 8-K is material to a holder of Common Stock and (23) the Agents request such certificate within three Business two (2) Trading Days after the filing of such Form 8-K with the Commission) with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two (2) Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be automatically waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1i) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2ii) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 3 contracts
Sources: Sales Agreement (Beyond Air, Inc.), Sales Agreement (Beyond Air, Inc.), Sales Agreement (Kura Oncology, Inc.)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) is given hereunder and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than (A) a prospectus supplement filed in accordance with Section 7(l) of this AgreementAgreement or (B) a supplement or amendment that relates to an offering of securities other than the Placement Shares) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
; (iii) files a quarterly report on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Company shall furnish the Sales Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business (3) Trading Days after the filing of such Form 8-K with the Commission) each Representation Date with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Sales Agents with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Sales Agents sell any Placement Shares pursuant theretoShares, the Company shall provide the Sales Agents with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 3 contracts
Sources: Sales Agreement (United States Antimony Corp), Sales Agreement (Cineverse Corp.), Sales Agreement (Cinedigm Corp.)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Shares are sold pursuant to the terms of this agreement (the “First Placement Notice Date”) Agreement and each time the Company:
(i) the Company files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) the Company files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) the Company files a its quarterly report reports on Form 10-Q under the Exchange Act; or
(iv) the Company files a current report on Form 8-K containing amended financial information (other than an earnings release that is to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act Act; (v) the Company files an Earnings 8-K or (vi) the Manager reasonably requests (a “Request Date”) (each date of filing of one or more of the documents referred to in clauses (i) through (ivv) and each Request Date shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) Manager with a certificate, in the form attached hereto as Exhibit 7(m7(n) within three (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 3) Trading Days of any Representation DateDate if requested by Manager. The requirement to provide a certificate under this Section 7(m7(n) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Manager with a certificate under this Section 7(m7(n), then before the Company delivers a the Placement Notice or the Agents sell Manager sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents Manager with a certificate, in the form attached hereto as Exhibit 7(m7(n), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 3 contracts
Sources: Sales Agreement (Mid America Apartment Communities Inc), Sales Agreement (Mid America Apartment Communities Inc), Sales Agreement (Mid America Apartment Communities Inc)
Representation Dates; Certificate. On or prior to During the term of this Agreement, on the date on which of the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) given hereunder and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) CF&Co with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers issues a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares issues a Replacement Notice following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents CF&Co with a certificate under this Section 7(m), then before the Company delivers a Placement Notice or the Agents sell any Placement Shares pursuant thereto, the Company shall provide the Agents CF&Co with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Introgen Therapeutics Inc), Sales Agreement (Sangamo Biosciences Inc)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Shares are sold pursuant to the terms of this agreement (the “First Placement Notice Date”) Agreement and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information statements or pro forma financial statements (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company and the Operating Partnership shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) CF&Co with a certificate, in the form attached hereto as Exhibit 7(m) within three (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 3) Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents CF&Co with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell CF&Co sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents CF&Co with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Controlled Equity Offering Sales Agreement (CapLease, Inc.), Sales Agreement (CapLease, Inc.)
Representation Dates; Certificate. On or Three Trading Days prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) Delivery Date and each time the Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
(ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is information “furnished” pursuant to Item Items 2.02 or Item 7.01 of Form 8-K) under the Exchange Act (each Act, or Each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), .” the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) CF&Co with a certificate, in the form attached hereto as Exhibit 7(m) within three (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 3) Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents CF&Co with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell CF&Co sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents CF&Co with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Sunesis Pharmaceuticals Inc), Sales Agreement (Sunesis Pharmaceuticals Inc)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) and each time the Company:
(i) amends or supplements (other than a prospectus supplement relating solely to the offering of securities other than the Common Stock) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker or supplement but not by means of incorporation of document(s) by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
(ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files a quarterly report on Form 10-Q under the Exchange Act; or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is “furnished” pursuant to Item 2.02 or Item 7.01 of Form 8-K) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Company shall furnish the Agents Agent (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request Agent requests such certificate within three Business Days after the filing of such Form 8-K with the Commission) with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effect, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which the Company relied on the waiver referred to in the previous sentence and did not provide the Agents Agent with a certificate under this Section 7(m), then before the Company delivers a Placement Notice or the Agents sell Agent sells any Placement Shares pursuant thereto, the Company shall provide the Agents Agent with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents Agent such further information, certificates and documents as the Agents Agent may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Neumora Therapeutics, Inc.), Sales Agreement (AEON Biopharma, Inc.)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) is given hereunder and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than (A) a prospectus supplement filed in accordance with Section 7(l) of this AgreementAgreement or (B) a supplement or amendment that relates to an offering of securities other than the Placement Shares) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
; (iii) files a quarterly report on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is “furnished” release, to "furnish" information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “"Representation Date”"), the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate Sales Agent within three Business (3) Trading Days after the filing of such Form 8-K with the Commission) each Representation Date with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Sales Agent with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell Sales Agent sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents Sales Agent with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Sphere 3D Corp.), Sales Agreement (Counterpath Corp)
Representation Dates; Certificate. On or prior to the date on which that the Company Securities are first delivers a Placement Notice sold pursuant to the terms of this agreement (the “First Placement Notice Date”) and each time the CompanyAgreement and:
(i) each time the Company files the Prospectus relating to the Placement Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares Securities (other than a prospectus supplement amendments or supplements that are filed in accordance with Section 7(l) solely to report sales of the Placement Securities pursuant to this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement SharesSecurities;
(ii) each time the Company files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K)Act;
(iii) each time the Company files a its quarterly report reports on Form 10-Q under the Exchange Act; orand
(iv) each time the Company files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8‑K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) Agent with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented)E, within two (2) Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Placement Agent with a certificate under this Section 7(m7(o), then before the Company delivers a the Placement Notice or the Agents sell Placement Agent sells any Placement Shares pursuant theretoSecurities, the Company shall provide the Agents Placement Agent with a certificate, in the form attached hereto as Exhibit 7(m)E, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Equity Distribution Agreement, Equity Distribution Agreement (Marinus Pharmaceuticals Inc)
Representation Dates; Certificate. On or prior to Each time during the date on which term of this Agreement that the Company first delivers (each date of filing of one or more of the documents referred to in the following clauses (i) through (iv) shall be a Placement Notice pursuant to this agreement (the “First Placement Notice Representation Date”) and each time the Company:):
(i) amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
(ii) files an annual report Annual Report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended audited financial information or a material amendment to the previously filed Annual Report on Form 10-K);
(iii) files a quarterly report its Quarterly Reports on Form 10-Q under the Exchange Act; or
(iv) files a current report Current Report on Form 8-K containing amended financial information (other than an earnings release that is information “furnished” pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), Act; the Company shall furnish the Agents to ▇. ▇▇▇▇▇ Securities (but in the case of clause (iv) above only if (1) a Placement Notice is pending or ▇. ▇▇▇▇▇ Securities reasonably determines that the information contained in effect and (2) the Agents request such certificate within three Business Days after the filing of such Current Report on Form 8-K with the Commissionis material) with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, (i) upon the delivery of the first Placement Notice hereunder and (ii) if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents ▇. ▇▇▇▇▇ Securities with a certificate under this Section 7(m), then before the Company delivers a Placement Notice or the Agents sell ▇. ▇▇▇▇▇ Securities sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents ▇. ▇▇▇▇▇ Securities with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: At Market Issuance Sales Agreement (Umh Properties, Inc.), At Market Issuance Sales Agreement (Umh Properties, Inc.)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) and each time the Company:
(i) amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker or supplement but not by means of incorporation of document(s) by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
(ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files a quarterly report on Form 10-Q under the Exchange Act; or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is “furnished” pursuant to Item 2.02 or Item 7.01 of Form 8-K) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Company shall furnish the Agents Agent (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request Agent requests such certificate within three Business Days after the filing of such Form 8-K with the Commission) with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effect, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which the Company relied on the waiver referred to in the previous sentence and did not provide the Agents Agent with a certificate under this Section 7(m), then before the Company delivers a Placement Notice or the Agents sell Agent sells any Placement Shares pursuant thereto, the Company shall provide the Agents Agent with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents Agent such further information, certificates and documents as the Agents Agent may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Pyxis Oncology, Inc.), Sales Agreement (Cogent Biosciences, Inc.)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Shares are sold pursuant to the terms of this agreement (the “First Placement Notice Date”) Agreement and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “"Representation Date”"), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) CF&Co with a certificate, in the form attached hereto as Exhibit 7(m) within three (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 3) Trading Days of any Representation DateDate if requested by CF&Co. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents CF&Co with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell CF&Co sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents CF&Co with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Essex Property Trust Inc), Sales Agreement (Essex Property Trust Inc)
Representation Dates; Certificate. On or prior to Upon commencement of the date on which offering of the Company first delivers Placement Shares under this Agreement (and upon the recommencement of the offering of the Placement Shares under this Agreement following the termination of a Placement Notice pursuant to this agreement Suspension Period) and within two (the “First Placement Notice 2) Trading Days after any Representation Date”) , and each time during the Company:term of this Agreement and the Forward Contract that the Company (each date of filing of one or more of the documents referred to in clauses (i) through (iv) below shall be a “Representation Date”):
(i) amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
(ii) files an annual report Annual Report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files a quarterly report its Quarterly Reports on Form 10-Q under the Exchange ActAct (including any Form 10-Q/A containing amended financial information or a material amendment to the previously filed Form 10-Q); or
(iv) files a current report Current Report on Form 8-K containing amended financial information information, capsule financial information, financial statements, supporting schedules or other financial data (other than an earnings release that is information “furnished” pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Act; The Company shall furnish the Agents (but in Agents, the case of clause (iv) above only if (1) a Placement Notice is pending or in effect Forward Purchasers and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) Forward Sellers with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. A. The requirement to provide a certificate under this Section 7(m7(l) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Agents, the Forward Purchasers and the Forward Sellers with a certificate under this Section 7(m7(l), then before the Company delivers a the Placement Notice or any of the Agents sell Agents, the Forward Purchasers or the Forward Sellers sells or offers any Placement Shares pursuant theretoShares, the Company shall provide the Agents the Forward Purchasers and the Forward Sellers with a certificate, in the form attached hereto as Exhibit 7(m)A, dated the date of such the Placement Notice. Within two Trading Days The obligation of each Representation Date, the Company under this Section 7(l) shall have furnished to be deferred for any Suspension Period and shall recommence upon the Agents termination of such further information, certificates and documents as the Agents may reasonably requestSuspension Period.
Appears in 2 contracts
Sources: At the Market Issuance Sales Agreement (American Homes 4 Rent), At the Market Issuance Sales Agreement (American Homes 4 Rent)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) is given hereunder and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than (A) a prospectus supplement filed in accordance with Section 7(l) of this AgreementAgreement or (B) a supplement or amendment that relates to an offering of securities other than the Placement Shares) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
; (iii) files a quarterly report on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate Sales Agent within three Business (3) Trading Days after the filing of such Form 8-K with the Commission) each Representation Date with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its Annual Report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Sales Agent with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell Sales Agent sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents Sales Agent with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Yangtze River Port & Logistics LTD), Sales Agreement (NXT-Id, Inc.)
Representation Dates; Certificate. On or Three Trading Days prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) Delivery Date and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) CF&Co with a certificate, in the form attached hereto as Exhibit 7(m) within three (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 3) Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents CF&Co with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell CF&Co sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents CF&Co with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Avanir Pharmaceuticals, Inc.), Sales Agreement (Stemcells Inc)
Representation Dates; Certificate. On or prior to Upon the date on which execution of this Agreement, and during the Company first delivers a Placement Notice pursuant to term of this agreement (the “First Placement Notice Date”) and Agreement, each time the Company:
Corporation (i) files the Prospectuses relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus Prospectuses relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker amendment or supplement but not by means of incorporation of document(s) documents by reference into to the Registration Statement or the Prospectus Prospectuses relating to the Placement Shares;
; (ii) files or amends an annual report on Form 1040-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
F; (iii) files a quarterly report or amends interim financial statements on Form 106-Q under the Exchange ActK; or
or (iv) files a current report on Form 8-K containing amended financial information (at any other than an earnings release that is “furnished” pursuant to Item 2.02 or Item 7.01 of Form 8-K) under time reasonably requested by the Exchange Act Agents (each date of filing of one or more of the documents referred to in clauses (i) through (iii) and any time of request pursuant to (iv) above shall be a “"Representation Date”"), the Company Corporation shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) with a certificatecertificates, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate A-1 and 2 and back-up information satisfactory to the Registration Statement Agents verifying the operational, statistical and market data included in the Prospectus as then amended or supplemented)relevant filing, within two three Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m8(n) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company Corporation delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Corporation files its annual report on Form 40-F. Notwithstanding the foregoing, if the Company Corporation subsequently decides to sell Placement Shares following a Representation Date on which when the Company Corporation relied on the such waiver referred to in the previous sentence and did not provide the Agents with a certificate under this Section 7(m8(n), then before the Company Corporation delivers a the Placement Notice or the Agents sell any Placement Shares pursuant theretoShares, the Company Corporation shall provide the Agents with a certificatecertificates, in the form attached hereto as Exhibit 7(m)A-1 and 2, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Equity Distribution Agreement (Organigram Holdings Inc.), Equity Distribution Agreement (Organigram Holdings Inc.)
Representation Dates; Certificate. On or prior to the date on which that the Company Securities are first delivers a Placement Notice sold pursuant to the terms of this agreement (the “First Placement Notice Date”) Agreement and each time the Companysubsequently thereafter:
(i) each time the Company files the Prospectus relating to the Placement Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares Securities (other than a prospectus supplement amendments or supplements that are filed in accordance with Section 7(l) solely to report sales of the Placement Securities pursuant to this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement SharesSecurities;
(ii) each time the Company files an annual report on Form 1020-K F under the Exchange Act (including any Form 1020-KF/A containing amended financial information or a material amendment to the previously filed Form 1020-KF);
(iii) each time the Company files a its quarterly report or six-month reports on Form 106-Q K under the Exchange ActAct containing financial statements, supporting schedules or other financial data incorporated by reference into the Registration Statement; or
(iv) each time the Company files a current report on Form 86-K containing amended financial information (other than an earnings release that is “furnished” pursuant relating to Item 2.02 or Item 7.01 of Form 8-K) the Company under the Exchange Act incorporated by reference into the Registration Statement (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented)E, within two three (3) Trading Days of any Representation Date, provided that the obligation to furnish such certificate pursuant to Section 7(o)(iv) shall only be required if (x) a Placement Notice is pending and (y) the information contained in such Form 6-K is material to a holder of Ordinary Shares. The requirement to provide a certificate under this Section 7(m7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar fiscal quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 20-F. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents with a certificate under this Section 7(m7(o), then before the Company delivers a the Placement Notice or the Agents sell Placement Agent sells any Placement Shares pursuant theretoSecurities, the Company shall provide the Agents with a certificate, in the form attached hereto as Exhibit 7(m)E, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Equity Distribution Agreement (Vascular Biogenics Ltd.), Equity Distribution Agreement (Vascular Biogenics Ltd.)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Securities are sold pursuant to the terms of this agreement Agreement or any Alternative Distribution Agreement and:
(the “First Placement Notice Date”1) and each time the Company:
(i) files the Prospectus relating to the Placement Securities or amends or supplements the Registration Statement (other than a prospectus supplement relating solely to an offering of securities other than the Placement Securities) or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) Securities by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement SharesSecurities;
(ii) files an annual report on Form 10-K 10‑K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K)Act;
(iii) files a quarterly report on Form 10-Q 10‑Q under the Exchange Act; or
(iv) files a current report on Form 8-K 8‑K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-K8‑K) under the Exchange Act Act; and
(2) at any other time reasonably requested by the Placement Agent (each such date of filing of one or more of the documents referred to in clauses (i1)(i) through (iv) and any time of request pursuant to this Section 7(o) shall be a “Representation Date”), the Company and the Operating Partnership shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) Agent with a certificate, in the form attached hereto as Exhibit 7(mF within three (3) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10‑K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Placement Agent with a certificate under this Section 7(m7(o), then before the Company delivers a the Placement Notice or the Agents sell Placement Agent sells any Placement Shares pursuant theretoSecurities, the Company shall provide the Agents Placement Agent with a certificate, in the form attached hereto as Exhibit 7(m)F, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Equity Distribution Agreement (Whitestone REIT), Equity Distribution Agreement (Whitestone REIT)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to of this agreement Agreement and:
(the “First Placement Notice Date”1) and each time the Company:
(i) a. files the Prospectus relating to the Placement Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) Securities by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement SharesSecurities;
(ii) b. files an annual report Annual Report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K)Act;
(iii) c. files a quarterly report Quarterly Report on Form 10-Q under the Exchange Act; or
(iv) d. files a current report on Form 8-K containing amended financial information (other than an earnings release that is or to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-K) under the Exchange Act Act; and
(2) at any other time reasonably requested by the Agents (each such date of filing of one or more of the documents referred to in clauses (i1)(a) through (ivd) and any time of request pursuant to this Section 7(o) shall be a “Representation Date”), the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) with a certificate, in the form attached hereto as Exhibit 7(mC within three (3) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m7(o)(2) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its Annual Report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents with a certificate under this Section 7(m7(o), then before the Company delivers a the Placement Notice or the Agents sell any Placement Shares pursuant theretoSecurities, the Company shall provide the Agents Agent with a certificate, in the form attached hereto as Exhibit 7(m)C, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Equity Distribution Agreement (Synalloy Corp), Equity Distribution Agreement (Synalloy Corp)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) and each time the Company:
(i) amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker or supplement but not by means of incorporation of document(s) by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
(ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files a quarterly report on Form 10-Q under the Exchange Act; or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is “furnished” pursuant to Item 2.02 or Item 7.01 of Form 8-K) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Company shall furnish the Agents Agent (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request Agent requests such certificate within three Business Days after the filing of such Form 8-K with the Commission) with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effect, or if a suspension is in effect with respect to any Placement Notice, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which the Company relied on the waiver referred to in the previous sentence and did not provide the Agents Agent with a certificate under this Section 7(m), then before the Company delivers a Placement Notice or the Agents sell Agent sells any Placement Shares pursuant thereto, the Company shall provide the Agents Agent with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents Agent such further information, certificates and documents as the Agents Agent may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Artiva Biotherapeutics, Inc.), Sales Agreement (Contineum Therapeutics, Inc.)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Securities are sold pursuant to the terms of this agreement Agreement or any Alternative Equity Distribution Agreement and:
(the “First Placement Notice Date”1) and each time the Company:
(i) files the Prospectus relating to the Placement Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) Securities by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement SharesSecurities;
(ii) files an annual report Annual Report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K)Act;
(iii) files a quarterly report Quarterly Report on Form 10-Q under the Exchange Act; or
(iv) files a current report Current Report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act Act; and
(2) at any other time reasonably requested by the Agent (each such date of filing of one or more of the documents referred to in clauses (i1)(i) through (iv) and any time of request pursuant to this Section 7(n) shall be a “Representation Date”), the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) Agent with a certificate, in the form attached hereto as Exhibit 7(mF within three (3) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m7(n) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Agent with a certificate under this Section 7(m7(n), then before the Company delivers a the Placement Notice or the Agents sell Agent sells any Placement Shares pursuant theretoSecurities, the Company shall provide the Agents Agent with a certificate, in the form attached hereto as Exhibit 7(m)F, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Equity Distribution Agreement (Terreno Realty Corp), Equity Distribution Agreement (Terreno Realty Corp)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) and each Each time the Company:
: (i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares), the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
Act or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is information “furnished” pursuant to Item Items 2.02 or Item 7.01 of Form 8-K) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company and the Manager shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) with a certificate, in the form attached hereto as Exhibit 7(m) within three (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 3) Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell Agent sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Equity Distribution Agreement (Armour Residential REIT, Inc.), Equity Distribution Agreement (Armour Residential REIT, Inc.)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Securities are sold pursuant to the terms of this agreement (the “First Placement Notice Date”) Agreement and each time the Company:
(i) files the Prospectus relating to the Placement Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) Securities by means of a post-effective amendment, sticker or supplement supplement, but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement SharesSecurities (except as set forth in clauses (ii) through (v));
(ii) files an annual report Annual Report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K)Act;
(iii) files a quarterly report Quarterly Report on Form 10-Q under the Exchange Act; or;
(iv) files (as opposed to furnishes) an Earnings 8-K;
(v) files a current report on Form 8-K containing amended financial information (other than an earnings release that is information “furnished” pursuant to Item Items 2.02 or Item 7.01 of Form 8-K) under the Exchange Act Act; and
(vi) files an amendment to any document referred to in clauses (ii) through (v) above (each such date of filing of one or more of the documents referred to in clauses (i) through (ivvi) shall be a “Representation Date”), the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) Agent with a certificate, in the form attached hereto as Exhibit 7(m) (modifiedE, as necessaryexecuted by the Company’s Chief Executive Officer, to relate to the Registration Statement and the Prospectus as then amended Chief Financial Officer or supplemented)Chief Legal Officer, within two three Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Agent with a certificate under this Section 7(m7(o), then then, before the Company delivers a the Placement Notice or the Agents sell Agent sells any Placement Shares pursuant theretoSecurities, the Company shall provide the Agents Agent with a certificate, in the form attached hereto as Exhibit 7(m)E, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Equity Distribution Agreement (Park Ohio Holdings Corp), Equity Distribution Agreement (Olympic Steel Inc)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Shares are sold pursuant to the terms of this agreement (the “First Placement Notice Date”) Agreement and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l7(m) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) CF&Co with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented7(n), within two three (3) Trading Days of any Representation DateDate if requested by CF&Co. The requirement to provide a certificate under this Section 7(m7(n) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents CF&Co with a certificate under this Section 7(m7(n), then before the Company delivers a the Placement Notice or the Agents sell CF&Co sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents CF&Co with a certificate, in the form attached hereto as Exhibit 7(m7(n), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Controlled Equity Offerings Sales Agreement (First Potomac Realty Trust), Sales Agreement (First Potomac Realty Trust)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Securities are sold pursuant to the terms of this agreement Agreement and:
(the “First Placement Notice Date”1) and each time the Company:
(i) files the Prospectus relating to the Placement Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) Securities by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement SharesSecurities;
(ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed field Form 10-K)) under the Exchange Act;
(iii) files a quarterly report on Form 10-Q under the Exchange Act; or
(iv) files a current report on Form 8-K containing amended financial information (other than to “furnish” information contained in an earnings release that is “furnished” pursuant to Item Items 2.02 or Item 7.01 of Form 8-K) under the Exchange Act Act; and
(2) at any other time reasonably requested by the Manager (each such date of filing of one or more of the documents referred to in clauses (i1)(i) through (iv) and any time of request pursuant to this Section 7(o) shall be a “Representation Date”), the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) Manager with a certificate, in the form attached hereto as Exhibit 7(m) (modifiedD and executed by the Chief Executive Officer, as necessaryChief Financial Officer, to relate to Chief Accounting Officer or Treasurer of the Registration Statement and the Prospectus as then amended or supplemented)Company, within two five (5) Trading Days of any such Representation Date, and in any event prior to the first sale of Securities pursuant to this Agreement and prior to the first sale of Securities on or after any such Representation Date. The requirement to provide a certificate under this Section 7(m7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Manager with a certificate under this Section 7(m7(o), then before the Company delivers a the Placement Notice or the Agents sell Manager sells any Placement Shares pursuant theretoSecurities, the Company shall provide the Agents Manager with a certificate, in the form attached hereto as Exhibit 7(m)D, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Equity Distribution Agreement (Geo Group Inc), Equity Distribution Agreement (Geo Group Inc)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) is given hereunder and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than (A) a prospectus supplement filed in accordance with Section 7(l) of this AgreementAgreement or (B) a supplement or amendment that relates to an offering of securities other than the Placement Shares) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
; (iii) files a quarterly report on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate Sales Agent within three Business (3) Trading Days after the filing of such Form 8-K with the Commission) each Representation Date with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Sales Agent with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell Sales Agent sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents Sales Agent with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Ritter Pharmaceuticals Inc), Sales Agreement (Sorrento Therapeutics, Inc.)
Representation Dates; Certificate. On or prior to During the term of this Agreement, on the date on which the Company first delivers a of each Placement Notice pursuant to this agreement (the “First Placement Notice Date”) given hereunder, if requested by Canaccord, promptly upon each such request, and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) Canaccord with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. A. The requirement to provide a certificate under this Section 7(m7(p) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Canaccord with a certificate under this Section 7(m7(p), then before the Company delivers a the Placement Notice or the Agents sell Canaccord sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents Canaccord with a certificate, in the form attached hereto as Exhibit 7(m)A, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Equity Distribution Agreement (Arcimoto Inc), Equity Distribution Agreement (Arcimoto Inc)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Shares are sold pursuant to the terms of this agreement (the “First Placement Notice Date”) Agreement and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company and the Manager shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) CF&Co with a certificate, in the form attached hereto as Exhibit 7(m) within three (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 3) Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents CF&Co with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell CF&Co sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents CF&Co with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Hatteras Financial Corp), Sales Agreement (Hatteras Financial Corp)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to of this agreement (the “First Placement Notice Date”) Agreement and each time the Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
(ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended that contains restated financial information or a material amendment to the previously filed Form 10-Kstatements);
(iii) files a quarterly report on Form 10-Q under the Exchange Act; or
(iv) files a current report on Form 8-K containing amended audited financial information (other than an earnings release that is information “furnished” pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall will be a “Representation Date”), ; the Company shall will furnish the Agents Agent (but in the case of clause (iv) above only if (1) a Placement Notice is pending or the Agent reasonably determines that the information contained in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commissionis material) with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. A. The requirement to provide a certificate under this Section 7(m7(l) shall will be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall will continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall will be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver will not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Agent with a certificate under this Section 7(m7(l), then before the Company delivers a the Placement Notice or the Agents sell Agent sells any Placement Shares pursuant theretoShares, the Company shall will provide the Agents Agent with a certificate, in the form attached hereto as Exhibit 7(m)A, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: At the Market Issuance Sales Agreement (Ecoark Holdings, Inc.), At the Market Issuance Sales Agreement (Verb Technology Company, Inc.)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Securities are sold pursuant to the terms of this agreement Agreement or any Alternative Distribution Agreement and:
(the “First Placement Notice Date”1) and each time the Company:
(i) files the Prospectus relating to the Placement Securities or amends or supplements the Registration Statement (other than a prospectus supplement relating solely to an offering of securities other than the Placement Securities) or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) Securities by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement SharesSecurities;
(ii) files an annual report on Form 10-K 10‑K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K)Act;
(iii) files a quarterly report on Form 10-Q 10‑Q under the Exchange Act; or
(iv) files a current report on Form 8-K 8‑K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-K8‑K) under the Exchange Act Act; and
(2) at any other time reasonably requested by ▇▇▇▇▇▇▇▇▇▇ Securities (each such date of filing of one or more of the documents referred to in clauses (i1)(i) through (iv) and any time of request pursuant to this Section 7(o) shall be a “Representation Date”), the Company and the Operating Partnership shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) ▇▇▇▇▇▇▇▇▇▇ Securities with a certificate, in the form attached hereto as Exhibit 7(mF within three (3) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10‑K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents ▇▇▇▇▇▇▇▇▇▇ Securities with a certificate under this Section 7(m7(o), then before the Company delivers a the Placement Notice or the Agents sell ▇▇▇▇▇▇▇▇▇▇ Securities sells any Placement Shares pursuant theretoSecurities, the Company shall provide the Agents ▇▇▇▇▇▇▇▇▇▇ Securities with a certificate, in the form attached hereto as Exhibit 7(m)F, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Equity Distribution Agreement (Whitestone REIT), Equity Distribution Agreement (Whitestone REIT)
Representation Dates; Certificate. (1) On or prior to the date on which of the Company first delivers a Placement Notice pursuant to this agreement and (the “First Placement Notice Date”2) and each time the Company:
(i) files the Prospectus relating to the Placement Securities or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Securities) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) Securities by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement SharesSecurities;
(ii) files an annual report on Form 1020-F or a report of financials on Form 6-K under the Exchange Act (including any Form 1020-F/A or Form 6-K/A containing amended financial information or a material amendment to the previously filed Form 1020-F or Form 6-K);; or
(iii) files with the Commission a quarterly report on Form 10-Q under the Exchange Act; or
(iv) files a current report on Form 86-K containing amended financial information (other than an earnings release that is “furnished” pursuant to Item 2.02 or Item 7.01 of Form 8-K) under the Exchange Act that is material to the offering of securities of the Company in the reasonable discretion of the Agent, where such report indicates that it is incorporated by reference into the Registration Statement and Prospectus (each date of filing of one or more of the documents referred to in clauses (i) through (iviii) shall be a “Representation Date”), ; the Company shall furnish the Agents Agent (but in the case of clause (iviii) above only if (1) a Placement Notice is pending or the Agent reasonably determines that the information contained in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 86-K with the Commissionis material) with a certificatecertificate dated the Representation Date, in the form attached hereto as Exhibit 7(m) (and substance satisfactory to the Agent and its counsel, substantially similar to the form previously provided to the Agent and its counsel, modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m7(l) shall be waived for any Representation Date occurring at a time at which a Suspension is in effect or there is no Placement Notice is pending or in effect, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a instructions for the sale of Placement Notice Securities hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date on which the Company relied on the waiver referred to when a Suspension was in the previous sentence effect or there was no Placement Notice in effect and did not provide the Agents Agent with a certificate under this Section 7(m7(l), then before the Company delivers a the instructions for the sale of Placement Notice Securities or the Agents sell Agent sells any Placement Shares Securities pursuant theretoto such instructions, the Company shall provide the Agents Agent with a certificate, certificate in the form attached hereto conformity with this Section 7(l) dated as Exhibit 7(m), dated of the date that the instructions for the sale of such Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably requestSecurities are issued.
Appears in 2 contracts
Sources: Sales Agreement (Bionomics Limited/Fi), Sales Agreement (Bionomics Limited/Fi)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) and each time the Company:
(i) amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker or supplement but not by means of incorporation of document(s) by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
(ii) files an annual report Annual Report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files a quarterly report Quarterly Report on Form 10-Q under the Exchange Act; or
(iv) files a current report Current Report on Form 8-K containing amended financial information (other than an earnings release that is “furnished” pursuant to Item 2.02 or Item 7.01 of Form 8-K) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Company shall furnish the Agents Agent (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request Agent requests such certificate within three Business Days after the filing of such Form 8-K with the Commission) with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effect, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which the Company relied on the waiver referred to in the previous sentence and did not provide the Agents Agent with a certificate under this Section 7(m), then before the Company delivers a Placement Notice or the Agents sell Agent sells any Placement Shares pursuant thereto, the Company shall provide the Agents Agent with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such Placement Notice. Within two three Trading Days of each Representation Date, the Company shall have furnished to the Agents Agent such further information, certificates and documents as the Agents Agent may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Shattuck Labs, Inc.), Sales Agreement (Shattuck Labs, Inc.)
Representation Dates; Certificate. On During the term of this Agreement, on or prior to the date on which of the Company first delivers a Placement Notice pursuant to this agreement (given hereunder, promptly upon each request of Canaccord, and, following the “First first Placement Notice Date”) and Notice, each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information that is material to the Company (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents Canaccord (but in the case of clause (iv) above only if (1) a Placement Notice is pending or Canaccord reasonably determines that the financial information contained in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commissionis material) with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. A. The requirement to provide a certificate under this Section 7(m7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Date following the delivery of such Placement Notice; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Canaccord with a certificate under this Section 7(m7(o), then before the Company delivers a the Placement Notice or the Agents sell Canaccord sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents Canaccord with a certificate, in the form attached hereto as Exhibit 7(m)A, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Equity Distribution Agreement (T2 Biosystems, Inc.), Equity Distribution Agreement (T2 Biosystems, Inc.)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (is delivered by the “First Placement Notice Date”) Company hereunder and each time the Company:
Company (i) amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than (A) a prospectus supplement filed in accordance with Section 7(l) of this AgreementAgreement or (B) a supplement or amendment that relates to an offering of securities other than the Placement Shares) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 1020-K F under the Exchange Act (including any Form 1020-KF/A containing amended financial information or a material amendment to the previously filed Form 1020-KF);
; (iii) files a quarterly report on Form 106-Q K under the Exchange ActAct containing interim financial statements that is incorporated by reference into the Registration Statement; or
or (iv) files or furnishes a current report on Form 86-K containing amended financial information (other than an earnings release that is “furnished” pursuant to Item 2.02 or Item 7.01 of Form 8-Krelease) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Company shall furnish the Agents Sales Agent (but in the case of clause (iv) above above, only if (1the Sales Agent reasonably determines that the information contained in such current report on Form 6-K of the Company is material) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business (3) Trading Days after the filing of such Form 8-K with the Commission) each Representation Date with a certificate, substantially in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Sales Agent with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell Sales Agent sells any Placement Shares pursuant thereto, the Company shall provide the Agents Sales Agent with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (DAVIS COMMODITIES LTD), Sales Agreement (Rail Vision Ltd.)
Representation Dates; Certificate. On or prior Upon commencement of the offering of Shares pursuant to the date on which the Company first delivers a Placement Notice pursuant to terms of this agreement (the “First Placement Notice Date”) and each time the CompanyAgreement and:
(i) each time the Company files the Prospectus relating to the Placement Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares Securities (other than a prospectus supplement amendments or supplements that are filed in accordance with Section 7(l) solely to report sales of the Placement Securities pursuant to this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
Securities (ii) files an a “Prospectus Filing Representation Date”), including for the 10-K Filing and 10-Q Filing (each date of filing the Company’s annual report on Form 10-K under the Exchange Act (including any Form shall be a “10-K/A containing amended financial information or a material amendment to the previously filed Form 10-KK Representation Date”);; and
(iiiii) files a quarterly report on Form 10-Q under at any other time reasonably requested by the Exchange Act; or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is “furnished” pursuant to Item 2.02 or Item 7.01 of Form 8-K) under the Exchange Act Sales Manager (each such date of filing of one or more of the documents referred to in clauses clause (in)(i) through (ivand any time of request pursuant to this Section 7(n) shall be a “Representation Date”), the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) Sales Manager with a certificate, in the form attached hereto as Exhibit 7(mD within three (3) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m7(n) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which a Comfort Letter is required to be delivered pursuant to Section 7(p). Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Sales Manager with a certificate under this Section 7(m7(n), then before the Company delivers a the Placement Notice or the Agents sell Sales Manager sells any Placement Shares pursuant theretoSecurities, the Company shall provide the Agents Sales Manager with a certificate, in the form attached hereto as Exhibit 7(m)D, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Equity Distribution Agreement (Hercules Capital, Inc.), Equity Distribution Agreement (Hercules Capital, Inc.)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) Delivery Date and each time thereafter during the Company:
term of this Agreement the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is or other information “furnished” pursuant to Item 2.02 or Item 7.01 of Form 8-K”) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents ▇▇▇▇▇ (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and pending, (2) ▇▇▇▇▇ reasonably determines that the Agents request information contained in such Form 8-K is material to a holder of Common Stock and (3) ▇▇▇▇▇ requests such certificate within three Business Days (3) days after the filing of such Form 8-K with the Commission) with a certificate, in the form attached hereto as Exhibit 7(m) within three (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 3) Trading Days of any Representation DateDate if requested by ▇▇▇▇▇. The requirement to provide a certificate under this Section 7(m) shall be automatically waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents ▇▇▇▇▇ with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell ▇▇▇▇▇ sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents ▇▇▇▇▇ with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Syros Pharmaceuticals, Inc.), Sales Agreement (Syros Pharmaceuticals, Inc.)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Shares are sold pursuant to the terms of this agreement (the “First Placement Notice Date”) Agreement and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l7(m) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company and the Operating Partnership shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) CF&Co with a certificate, in the form attached hereto as Exhibit 7(m) (and substance satisfactory to CF&Co and its counsel, substantially similar to the form previously provided to CF&Co and its counsel, modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two three (3) Trading Days of any Representation DateDate if requested by CF&Co. The requirement to provide a certificate under this Section 7(m7(n) shall be is hereby waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents CF&Co with a certificate under this Section 7(m7(n), then before the Company delivers a the Placement Notice or the Agents sell CF&Co sells any Placement Shares pursuant theretoShares, the Company and the Operating Partnership shall provide the Agents CF&Co with a certificate, in the form attached hereto as Exhibit 7(m7(n), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Gladstone Commercial Corp), Sales Agreement (Gladstone Commercial Corp)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Securities are sold pursuant to the terms of this agreement Agreement or any Alternative Distribution Agreement and:
(the “First Placement Notice Date”1) and each time the Company:
(i) files the Prospectus relating to the Placement Securities or amends or supplements the Registration Statement (other than a prospectus supplement relating solely to an offering of securities other than the Placement Securities) or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) Securities by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement SharesSecurities;
(ii) files an annual report on Form 10-K 10‑K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K)Act;
(iii) files a quarterly report on Form 10-Q 10‑Q under the Exchange Act; or
(iv) files a current report on Form 8-K 8‑K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-K8‑K) under the Exchange Act Act; and
(2) at any other time reasonably requested by ▇▇▇▇▇ (each such date of filing of one or more of the documents referred to in clauses (i1)(i) through (iv) and any time of request pursuant to this Section 7(o) shall be a “Representation Date”), the Company and the Operating Partnership shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) ▇▇▇▇▇ with a certificate, in the form attached hereto as Exhibit 7(mF within three (3) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10‑K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents ▇▇▇▇▇ with a certificate under this Section 7(m7(o), then before the Company delivers a the Placement Notice or the Agents sell ▇▇▇▇▇ sells any Placement Shares pursuant theretoSecurities, the Company shall provide the Agents ▇▇▇▇▇ with a certificate, in the form attached hereto as Exhibit 7(m)F, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Equity Distribution Agreement (Whitestone REIT), Equity Distribution Agreement (Whitestone REIT)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) and each Each time the Company:
: (i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares), the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
Act or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is information “furnished” pursuant to Item Items 2.02 or Item 7.01 of Form 8-K) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company and the Manager shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) Agent with a certificate, in the form attached hereto as Exhibit 7(m) within three (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 3) Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Agent with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell Agent sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents Agent with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: At Market Issuance Sales Agreement (Armour Residential REIT, Inc.), At Market Issuance Sales Agreement (Armour Residential REIT, Inc.)
Representation Dates; Certificate. On or prior to the date on which that the Company Securities are first delivers a Placement Notice sold pursuant to the terms of this agreement (the “First Placement Notice Date”) and each time the CompanyAgreement and:
(i) each time the Company files the Prospectus relating to the Placement Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares Securities (other than a prospectus supplement amendments or supplements that are filed in accordance with Section 7(l) solely to report sales of the Placement Securities pursuant to this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement SharesSecurities;
(ii) each time the Company files an annual report on Form 10-K under the Exchange Act (including any each date of filing of the Company's annual report on Form 10-K/A containing amended financial information or K shall be a material amendment to the previously filed Form “10-KK Representation Date”);
(iii) each time the Company files a its quarterly report reports on Form 10-Q under the Exchange Act; or
(iv) each time the Company files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) Agent with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented)D, within two three (3) Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date; provided, however, that such waiver shall not apply for any 10-K Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Placement Agent with a certificate under this Section 7(m7(o), then before the Company delivers a the Placement Notice or the Agents sell Placement Agent sells any Placement Shares pursuant theretoSecurities, the Company shall provide the Agents Placement Agent with a certificate, in the form attached hereto as Exhibit 7(m)D, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Equity Distribution Agreement (Two Harbors Investment Corp.), Equity Distribution Agreement (Two Harbors Investment Corp.)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Shares are sold pursuant to the terms of this agreement (the “First Placement Notice Date”) Agreement and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l7(m) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information statements (other than an earnings release that is “furnished” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-K) K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144), or financial statements required by Rule 3-14 of Regulation S-X, under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) Credit Agricole with a certificate, in the form attached hereto as Exhibit 7(m7(n) within three (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 3) Trading Days of any Representation DateDate if requested by Credit Agricole. The requirement to provide a certificate under this Section 7(m7(n) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Credit Agricole with a certificate under this Section 7(m7(n), then before the Company delivers a the Placement Notice or the Agents sell Credit Agricole sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents Credit Agricole with a certificate, in the form attached hereto as Exhibit 7(m7(n), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Healthcare Realty Trust Inc), Sales Agreement (Healthcare Realty Trust Inc)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Shares are sold pursuant to the terms of this agreement (the “First Placement Notice Date”) Agreement and each time the Company:
Company (i) files the Prospectus relating to the Shares or amends or supplements (other than by means of a prospectus supplement relating solely to an offering of securities other than the Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is “furnished” information furnished pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act Act; or (v) has been reasonably requested by the Agents (each date of filing of one or more of the documents an event referred to in clauses (i) through (ivvi) shall be a “Representation Date”), ; the Company and the Operating Partnership shall furnish the Agents Agents, the Forward Sellers or the Forward Purchasers (but in the case of clause (iv) above only if (1) a Placement Notice is pending an Agent, Forward Seller or Forward Purchaser reasonably determines that the information contained in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commissionis material) with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate and substance satisfactory to the Registration Statement Agents, Forward Sellers and Forward Purchasers and their counsel, substantially similar to the Prospectus as then amended form previously provided to the Agents, Forward Sellers or supplemented), Forward Purchasers and their counsel within two five Trading Days of any Representation Date or, in the case of a Representation Date resulting from a Principal Settlement Date, delivered on such Principal Settlement Date, if requested by the Agent, Forward Seller or Forward Purchaser. The requirement to provide a certificate under this Section 7(m7(n) shall be is hereby waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares or enter into a Forward following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Agents, Forward Sellers or Forward Purchasers with a certificate under this Section 7(m7(n), then before the Company delivers a the Placement Notice or the Agents Agents, Forward Sellers or Forward Purchasers sell any Placement Shares pursuant theretoShares, the Company and the Operating Partnership shall provide the Agents Agents, Forward Sellers and Forward Purchasers with a certificate, in certificate substantially similar to the form attached hereto as Exhibit 7(m)previously provided to the Agents, Forward Sellers and Forward Purchasers and their counsel, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Global Medical REIT Inc.), Sales Agreement (Global Medical REIT Inc.)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Securities are sold pursuant to the terms of this agreement Agreement and:
(the “First Placement Notice Date”1) and each time the Company:
(i) files the Prospectus relating to the Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) Securities by means of a post-effective amendment, sticker or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement SharesSecurities;
(ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K)Act;
(iii) files a quarterly report on Form 10-Q under the Exchange Act; or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is to “furnishedfurnish” information pursuant to Item 2.02 or Item 7.01 of Form 8-KK (including in an earnings release)) under the Exchange Act Act; and
(2) at any other time reasonably requested by ▇▇▇▇▇ Fargo Securities (each such date of filing of one or more of the documents referred to in clauses (iSection 7(o)(1) through (ivand any time of request pursuant to this Section 7(o)(2) shall be a “Representation Date”), the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) ▇▇▇▇▇ Fargo Securities with a certificate, in the form attached hereto as Exhibit 7(m) F, within three Trading Days following any Representation Date (modified, as necessary, to relate to except in the Registration Statement and case of a waiver under the Prospectus as then amended or supplementedfollowing sentence (a “Waiver”), within two Trading Days of any Representation Datein which case such certificate shall be furnished with or preceding the relevant Placement Notice). The requirement to provide a certificate under this Section 7(m7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date). Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents ▇▇▇▇▇ Fargo Securities with a certificate under this Section 7(m7(o), then then, before the Company delivers a the Placement Notice or the Agents sell ▇▇▇▇▇ Fargo Securities sells any Placement Shares pursuant theretoSecurities, the Company shall provide the Agents ▇▇▇▇▇ Fargo Securities with a certificate, in the form attached hereto as Exhibit 7(m)F, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Equity Distribution Agreement (CMS Energy Corp), Equity Distribution Agreement (CMS Energy Corp)
Representation Dates; Certificate. On or prior to the date on which that the Company Securities are first delivers a Placement Notice sold pursuant to the terms of this agreement (the “First Placement Notice Date”) and each time the CompanyAgreement and:
(i) amends or supplements each time the Registration Statement or Company files the Prospectus relating to the Placement Shares Securities or amends the Registration Statement or supplements the Prospectus relating to the Placement Securities (other than a prospectus supplement amendments or supplements that are filed in accordance with Section 7(l) solely to report sales of the Placement Securities pursuant to this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement SharesSecurities;
(ii) each time the Company files an annual report on Form 10-K under the Exchange Act (including any each date of filing of the Company’s annual report on Form 10-K/A containing amended financial information or K shall be a material amendment to the previously filed Form “10-KK Representation Date”);
(iii) each time the Company files a its quarterly report reports on Form 10-Q under the Exchange Act; or
(iv) each time the Company files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Placement Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented)F, within two three (3) Trading Days of after any Representation Date. The requirement to provide a certificate under this Section 7(m7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date; provided, however, that such waiver shall not apply for any 10-K Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Placement Agents with a certificate under this Section 7(m7(o), then before the Company delivers a the Placement Notice or the Placement Agents sell sells any Placement Shares pursuant theretoSecurities, the Company shall provide the Placement Agents with a certificate, in the form attached hereto as Exhibit 7(m)F, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Equity Distribution Agreement (Granite Point Mortgage Trust Inc.), Equity Distribution Agreement (Two Harbors Investment Corp.)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Securities are sold pursuant to the terms of this agreement Agreement or any Alternative Distribution Agreement and:
(the “First Placement Notice Date”1) and each time the Company:
(i) files the Prospectus relating to the Placement Securities or amends or supplements the Registration Statement (other than a prospectus supplement relating solely to an offering of securities other than the Placement Securities) or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) Securities by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement SharesSecurities;
(ii) files an annual report on Form 10-K 10‑K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K)Act;
(iii) files a quarterly report on Form 10-Q 10‑Q under the Exchange Act; or
(iv) files a current report on Form 8-K 8‑K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-K8‑K) under the Exchange Act Act; and
(2) at any other time reasonably requested by JMP Securities (each such date of filing of one or more of the documents referred to in clauses (i1)(i) through (iv) and any time of request pursuant to this Section 7(o) shall be a “Representation Date”), the Company and the Operating Partnership shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) JMP Securities with a certificate, in the form attached hereto as Exhibit 7(mF within three (3) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10‑K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents JMP Securities with a certificate under this Section 7(m7(o), then before the Company delivers a the Placement Notice or the Agents sell JMP Securities sells any Placement Shares pursuant theretoSecurities, the Company shall provide the Agents JMP Securities with a certificate, in the form attached hereto as Exhibit 7(m)F, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Equity Distribution Agreement (Whitestone REIT), Equity Distribution Agreement (Whitestone REIT)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to of this agreement (the “First Placement Notice Date”) Agreement and each time during the Company:
(i) term of this Agreement the Company files a Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares that includes updated financial information as of the end of the Company’s most recent quarterly period or fiscal year, as applicable (a “Quarterly 497 Filing” by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l(i) of this Agreement) by means of a post-effective amendment, sticker or supplement but not by means of incorporation of document(s) by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
(ii) files an annual report Company’s Annual Reports on Form 10-K under the Exchange Act Act, (including any Form 10-K/A containing amended financial information or a material amendment to ii) the previously filed Form 10-K);
(iii) files a quarterly report Company’s Quarterly Reports on Form 10-Q under the Exchange Act; or
Act and (iviii) files a current report the Company’s Current Reports on Form 8-K containing amended financial information (other than an earnings release that is information “furnished” pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (Act), each date of filing of one or more of the documents referred to in clauses (i) through (iv) such event shall be deemed a “Representation Date”), each of the Company and the Adviser shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) with a certificate, in the form attached hereto as Exhibit 7(m7(l)(1) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented7(l)(2), within two Trading Days of any Representation Daterespectively. The requirement to provide a certificate certificates under this Section 7(m7(l) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation DateDate; provided, however, that such waiver shall not apply for any Representation Date on which the Company makes a Quarterly 497 Filing containing updated annual audited financial statements. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents with a certificate under this Section 7(m7(l), then before the Company delivers a the Placement Notice or the Agents sell any Placement Shares pursuant theretoShares, the Company shall provide the Agents with a certificate, in the form attached hereto as Exhibit 7(m7(l)(1), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: At Market Issuance Sales Agreement (Horizon Technology Finance Corp), At Market Issuance Sales Agreement (Horizon Technology Finance Corp)
Representation Dates; Certificate. On or prior to During the term of this Agreement, on the date on which of the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) given hereunder and within 7 days of each time the Company:
Company (i) amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) relating solely to an offering of this Agreementsecurities other than the Placement Shares) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the a previously filed Form 10-K);
; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassification of certain properties as discontinued operations in accordance with FASB Accounting Standards Codification No. 360) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the . The Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) FBR with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company next delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents FBR with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell FBR sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents FBR with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: At Market Issuance Sales Agreement (Novavax Inc), At Market Issuance Sales Agreement (Novavax Inc)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) is given hereunder and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than (A) a prospectus supplement filed in accordance with Section 7(l) of this AgreementAgreement or (B) a supplement or amendment that relates to an offering of securities other than the Placement Shares) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 1020-K F under the Exchange Act (including any Form 1020-KF/A containing amended financial information or a material amendment to the previously filed Form 1020-KF);
; (iii) files a quarterly report on Form 106-Q K under the Exchange ActAct containing financial information that is incorporated by reference into the Registration Statement and the Prospectus; or
or (iv) files or furnishes a current report on Form 86-K containing amended financial information (other than an earnings release that is “furnished” pursuant to Item 2.02 or Item 7.01 of Form 8-Krelease) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate Sales Agent within three Business (3) Trading Days after the filing of such Form 8-K with the Commission) each Representation Date with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 20-F. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Sales Agent with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell Sales Agent sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents Sales Agent with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Zhongchao Inc.), Sales Agreement (Powerbridge Technologies Co., Ltd.)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Securities are sold pursuant to the terms of this agreement Agreement or any Alternative Distribution Agreement and:
(the “First Placement Notice Date”1) and each time the Company:
(i) files the Prospectus relating to the Placement Securities or amends or supplements the Registration Statement (other than a prospectus supplement relating solely to an offering of securities other than the Placement Securities) or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) Securities by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement SharesSecurities;
(ii) files an annual report on Form 10-K 10‑K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K)Act;
(iii) files a quarterly report on Form 10-Q 10‑Q under the Exchange Act; or
(iv) files a current report on Form 8-K 8‑K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-K8‑K) under the Exchange Act Act; and
(2) at any other time reasonably requested by ▇▇▇▇▇ Fargo Securities (each such date of filing of one or more of the documents referred to in clauses (i1)(i) through (iv) and any time of request pursuant to this Section 7(o) shall be a “Representation Date”), the Company and the Operating Partnership shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) ▇▇▇▇▇ Fargo Securities with a certificate, in the form attached hereto as Exhibit 7(mF within three (3) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10‑K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents ▇▇▇▇▇ Fargo Securities with a certificate under this Section 7(m7(o), then before the Company delivers a the Placement Notice or the Agents sell ▇▇▇▇▇ Fargo Securities sells any Placement Shares pursuant theretoSecurities, the Company shall provide the Agents ▇▇▇▇▇ Fargo Securities with a certificate, in the form attached hereto as Exhibit 7(m)F, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Equity Distribution Agreement (Whitestone REIT), Equity Distribution Agreement (Whitestone REIT)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) and each time the Company:
(i) amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker or supplement but not by means of incorporation of document(s) by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
(ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K but other than an amendment thereto, if any, containing the information required by Part III of such previously filed Form 10-K);
(iii) files a quarterly report on Form 10-Q under the Exchange Act; or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is “furnished” pursuant to Item 2.02 or Item 7.01 of Form 8-K) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Company shall furnish the Agents Agent (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request Agent requests such certificate within three Business Days after the filing of such Form 8-K with the Commission) with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effect, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which the Company relied on the waiver referred to in the previous sentence and did not provide the Agents Agent with a certificate under this Section 7(m), then before the Company delivers a Placement Notice or the Agents sell Agent sells any Placement Shares pursuant thereto, the Company shall provide the Agents Agent with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents Agent such further information, certificates and documents as the Agents Agent may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Evolus, Inc.), Sales Agreement (Evolus, Inc.)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to of this agreement (the “First Placement Notice Date”) Agreement and each time the Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
(ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended that contains restated financial information or a material amendment to the previously filed Form 10-Kstatements);
(iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
(iv) files a current report on Form 8-K containing amended audited financial information (other than an earnings release that is information “furnished” pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall will be a “Representation Date”), ; the Company shall will furnish the Agents WDCO (but in the case of clause (iv) above only if (1) a Placement Notice is pending or WDCO reasonably determines that the information contained in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commissionis material) with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. A. The requirement to provide a certificate under this Section 7(m7(l) shall will be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall will continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall will be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver will not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents WDCO with a certificate under this Section 7(m7(l), then before the Company delivers a the Placement Notice or the Agents sell WDCO sells any Placement Shares pursuant theretoShares, the Company shall will provide the Agents WDCO with a certificate, in the form attached hereto as Exhibit 7(m)A, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: At the Market Issuance Sales Agreement (Hyperscale Data, Inc.), At the Market Issuance Sales Agreement (DPW Holdings, Inc.)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Shares are sold pursuant to the terms of this agreement (the “First Placement Notice Date”) Agreement and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l7(m) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company and the Operating Partnership shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) CF&Co with a certificate, in the form attached hereto as Exhibit 7(m7(n) within three (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 3) Trading Days of any Representation DateDate if reasonably requested by CF&Co. The requirement to provide a certificate under this Section 7(m7(n) shall be is hereby waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents CF&Co with a certificate under this Section 7(m7(n), then before the Company delivers a the Placement Notice or the Agents sell CF&Co sells any Placement Shares pursuant theretoShares, the Company and the Operating Partnership shall provide the Agents CF&Co with a certificate, in the form attached hereto as Exhibit 7(m7(n), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (GLADSTONE LAND Corp), Sales Agreement (Gladstone Commercial Corp)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Shares are sold pursuant to the terms of this agreement (the “First Placement Notice Date”) Agreement and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares, amends or supplements the Registration Statement or supplements the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l8(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) Agent with a certificate, in the form attached hereto as Exhibit 7(m8(m) within three (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 3) Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m8(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder or to any Alternative Agent under the Alternative Sales Agreement (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Agent with a certificate under this Section 7(m8(m), then before the Company delivers a the Placement Notice or the Agents sell Agent sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents Agent with a certificate, in the form attached hereto as Exhibit 7(m8(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (AGNC Investment Corp.), Sales Agreement (AGNC Investment Corp.)
Representation Dates; Certificate. (1) On or prior to the date on which of the Company first delivers a Placement Notice pursuant to this agreement and (2) following the “First delivery of the first Placement Notice Date”) and Notice, each time the Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
(ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is information “furnished” pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents Agent (but in the case of clause (iv) above only if (1) a Placement Notice is pending or the Agent reasonably determines that the information contained in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commissionis material) with a certificatecertificate dated the Representation Date, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented7(l), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m7(l) shall be waived for any Representation Date occurring at a time at which no a Suspension is in effect or prior to the filing of the first Placement Notice is pending or in effectNotice, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a instructions for the sale of Placement Notice Shares hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which the Company relied on the waiver referred to when a Suspension was in the previous sentence effect and did not provide the Agents Agent with a certificate under this Section 7(m7(l), then before the Company delivers a the instructions for the sale of Placement Notice Shares or the Agents sell Agent sells any Placement Shares pursuant theretoto such instructions, the Company shall provide the Agents Agent with a certificate, certificate in the form attached hereto conformity with this Section 7(l) dated as Exhibit 7(m), dated of the date that the instructions for the sale of such Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably requestShares are issued.
Appears in 2 contracts
Sources: Sales Agreement (Transenterix Inc.), Sales Agreement (Onconova Therapeutics, Inc.)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) Delivery Date and each time the Company:
Company (i) amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K under the Exchange Act containing amended audited financial information (other than an earnings release that is information “furnished” pursuant to Item Items 2.02 or Item 7.01 of Form 8-K) K under the Exchange Act or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144 under the Exchange Act) (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) HCW with a certificate, in the form attached hereto as Exhibit 7(m) within five (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 5) Trading Days of any Representation DateDate if requested by HCW. The requirement to provide a certificate under this Section 7(m) shall be automatically waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date, including for purposes of Sections 7(n) and (27(o) hereof) and the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents HCW with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell HCW sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents HCW with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Flux Power Holdings, Inc.), Common Stock Sales Agreement (aTYR PHARMA INC)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) is given hereunder and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than (A) a prospectus supplement filed in accordance with Section 7(l) of this AgreementAgreement or (B) a supplement or amendment that relates to an offering of securities other than the Placement Shares) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report Annual Report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
; (iii) files a quarterly report Quarterly Report on Form 10-Q under the Exchange Act; or
or (iv) files a current report Current Report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate Sales Agent within three Business (3) Trading Days after the filing of such Form 8-K with the Commission) each Representation Date with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its Annual Report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Sales Agent with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell Sales Agent sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents Sales Agent with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (ShiftPixy, Inc.), Sales Agreement (Alpine 4 Holdings, Inc.)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Shares are sold pursuant to the terms of this agreement (the “First Placement Notice Date”) Agreement and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares, amends or supplements the Registration Statement or supplements the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l8(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company and the Manager shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) Agent with a certificate, in the form attached hereto as Exhibit 7(m8(m) within three (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 3) Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m8(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder or to any Alternative Agent under the Alternative Sales Agreement (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Agent with a certificate under this Section 7(m8(m), then before the Company delivers a the Placement Notice or the Agents sell Agent sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents Agent with a certificate, in the form attached hereto as Exhibit 7(m8(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (MTGE Investment Corp.), Sales Agreement (MTGE Investment Corp.)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) and each time the Company:
(i) amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker or supplement but not by means of incorporation of document(s) by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
(ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files a quarterly report on Form 10-Q under the Exchange Act; or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is “furnished” pursuant to Item 2.02 or Item 7.01 of Form 8-K) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Company shall furnish the Agents Agent (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request Agent requests such certificate within three Business Days after the filing of such Form 8-K with the Commission) with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effect, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K). Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which the Company relied on the waiver referred to in the previous sentence and did not provide the Agents Agent with a certificate under this Section 7(m), then before the Company delivers a Placement Notice or the Agents sell Agent sells any Placement Shares pursuant thereto, the Company shall provide the Agents Agent with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents Agent such further information, certificates and documents as the Agents Agent may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Fate Therapeutics Inc), Sales Agreement (Fate Therapeutics Inc)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) and each time the Company:
(i) amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l7(k) of this Agreement) by means of a post-effective amendment, sticker or supplement but not by means of incorporation of document(s) by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
(ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files a quarterly report on Form 10-Q under the Exchange Act; or
(iv) files a current report on Form 8-K containing amended financial information of the Company that amends financial information included in a previously filed Form 10-K or Form 10-Q of the Company (other than an earnings release that is “furnished” pursuant to Item 2.02 or Item 7.01 of Form 8-K) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Company shall furnish the Agents Agent (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request Agent requests such certificate within three Business Days after the filing of such Form 8-K with the Commission) with a certificate, in the form attached hereto as Exhibit 7(m7(l) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m7(l) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effect, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which the Company relied on the waiver referred to in the previous sentence and did not provide the Agents Agent with a certificate under this Section 7(m7(l), then before the Company delivers a Placement Notice or the Agents sell Agent sells any Placement Shares pursuant thereto, the Company shall provide the Agents Agent with a certificate, in the form attached hereto as Exhibit 7(m7(l), dated the date of such Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (INSMED Inc), Sales Agreement (INSMED Inc)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) Delivery Date and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that which is “furnished” pursuant deemed to Item 2.02 or Item 7.01 of Form 8-K) be incorporated by reference in the Registration Statement and the Prospectus under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) ▇▇▇▇▇ with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two (2) Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be automatically waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents ▇▇▇▇▇ with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell ▇▇▇▇▇ sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents ▇▇▇▇▇ with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Common Stock Sales Agreement (Macrogenics Inc), Sales Agreement (Macrogenics Inc)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) Delivery Date and each time the Company:
Company subsequently thereafter (i) amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is information “furnished” pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) ▇▇▇▇▇ with a certificate, in the form attached hereto as Exhibit 7(m) within three (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 3) Trading Days of any Representation DateDate if requested by ▇▇▇▇▇. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents ▇▇▇▇▇ with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell ▇▇▇▇▇ sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents ▇▇▇▇▇ with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Homology Medicines, Inc.), Sales Agreement (Invivo Therapeutics Holdings Corp.)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) and each time the Company:
(i) amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker or supplement but not by means of incorporation of document(s) by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
(ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files a quarterly report on Form 10-Q under the Exchange Act; or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is “furnished” pursuant to Item 2.02 or Item 7.01 of Form 8-K) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effecteffect or if a suspension is in effect with respect to any Placement Notice, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which the Company relied on the waiver referred to in the previous sentence and did not provide the Agents with a certificate under this Section 7(m), then before the Company delivers a Placement Notice or the Agents sell either Agent sells any Placement Shares pursuant thereto, the Company shall provide the Agents with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Harmony Biosciences Holdings, Inc.), Sales Agreement (Taysha Gene Therapies, Inc.)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Shares are sold pursuant to the terms of this agreement (the “First Placement Notice Date”) Agreement and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares, amends or supplements the Registration Statement or supplements the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l8(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) Agent with a certificate, in the form attached hereto as Exhibit 7(m8(m) within three (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 3) Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m8(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder or to any of the Alternative Agents under the Alternative Sales Agreements (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Agent with a certificate under this Section 7(m8(m), then before the Company delivers a the Placement Notice or the Agents sell Agent sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents Agent with a certificate, in the form attached hereto as Exhibit 7(m8(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (AGNC Investment Corp.), Sales Agreement (AGNC Investment Corp.)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) Delivery Date and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l8(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is or other information “furnished” pursuant to Item Items 2.02 or Item 7.01 of Form 8-K) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) Agent with a certificate, in the form attached hereto as Exhibit 7(m8(m) within three (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 3) Trading Days of any Representation DateDate if requested by Agent. The requirement to provide a certificate under this Section 7(m8(m) shall be automatically waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Agent with a certificate under this Section 7(m8(m), then before the Company delivers a the Placement Notice or the Agents sell Agent sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents Agent with a certificate, in the form attached hereto as Exhibit 7(m8(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: At Market Issuance Sales Agreement (Allena Pharmaceuticals, Inc.), At Market Issuance Sales Agreement (Allena Pharmaceuticals, Inc.)
Representation Dates; Certificate. On or prior to the date on which that the Company Securities are first delivers a Placement Notice sold pursuant to the terms of this agreement (the “First Placement Notice Date”) Agreement and each time the Companysubsequently thereafter:
(i) each time the Company files the Prospectus relating to the Placement Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares Securities (other than a prospectus supplement amendments or supplements that are filed in accordance with Section 7(l) solely to report sales of the Placement Securities pursuant to this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement SharesSecurities;
(ii) each time the Company files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K)Act;
(iii) each time the Company files a its quarterly report reports on Form 10-Q under the Exchange Act; or
(iv) each time the Company files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) Agent with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented)E, within two three (3) Trading Days of any Representation DateDate if required by the Placement Agent. The requirement to provide a certificate under this Section 7(m7(o) shall be automatically waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Placement Agent with a certificate under this Section 7(m7(o), then before the Company delivers a the Placement Notice or the Agents sell Placement Agent sells any Placement Shares pursuant theretoSecurities, the Company shall provide the Agents Placement Agent with a certificate, in the form attached hereto as Exhibit 7(m)E, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Equity Distribution Agreement (PLx Pharma Inc.), Equity Distribution Agreement (PLx Pharma Inc.)
Representation Dates; Certificate. On or prior to Each time during the date on which the Company first delivers a Placement Notice pursuant to term of this agreement (the “First Placement Notice Date”) and each time Agreement that the Company:
(i) post-effectively amends or supplements the Registration Statement or supplements the Prospectus relating to in either case such that the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendmentaudited financial information contained therein is amended, sticker or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
(ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
(iv) files a current report on Form 8-K containing amended audited financial information (other than an earnings release that is information “furnished” pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act Act; (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date.”), ) the Company shall furnish the Agents MLV no later than five (5) Trading Days after each Representation Date (but in the case of clause (iv) above only if (1) a Placement Notice is pending or MLV reasonably determines that the information contained in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commissionis material) with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented7(l), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m7(l) shall be automatically waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, (i) upon the delivery of the first Placement Notice hereunder and (ii) if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents MLV with a certificate under this Section 7(m7(l), then before the Company delivers a the Placement Notice or the Agents sell MLV sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents MLV with a certificate, in the form attached hereto as Exhibit 7(m7(l), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: At Market Issuance Sales Agreement (Coronado Biosciences Inc), At Market Issuance Sales Agreement (Coronado Biosciences Inc)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) is given hereunder and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than (A) a prospectus supplement filed in accordance with Section 7(l) of this AgreementAgreement or (B) a supplement or amendment that relates to an offering of securities other than the Placement Shares) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
; (iii) files a quarterly report on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate Sales Agent within three Business (3) Trading Days after the filing of such Form 8-K with the Commission) each Representation Date with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be automatically waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Sales Agent with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell Sales Agent sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents Sales Agent with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (TSR Inc), Sales Agreement (TSR Inc)
Representation Dates; Certificate. On or prior to the date on which that the Company Securities are first delivers a Placement Notice sold pursuant to the terms of this agreement (the “First Placement Notice Date”) and each time the CompanyAgreement and:
(i) each time the Company files the Prospectus relating to the Placement Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares Securities (other than a prospectus supplement amendments or supplements that are filed in accordance with Section 7(l) solely to report sales of the Placement Securities pursuant to this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement SharesSecurities;
(ii) each time the Company files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K)Act;
(iii) each time the Company files a its quarterly report reports on Form 10-Q under the Exchange Act; or
(iv) each time the Company files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in Placement Agent and the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) Alternative Agent with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented)E, within two three (3) Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Placement Agent and the Alternative Agent with a certificate under this Section 7(m7(o), then before the Company delivers a the Placement Notice or the Agents sell Placement Agent sells any Placement Shares pursuant theretoSecurities, the Company shall provide the Agents Placement Agent and the Alternative Agent with a certificate, in the form attached hereto as Exhibit 7(m)E, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Equity Distribution Agreement (Impac Mortgage Holdings Inc), Sales Agreement (Impac Mortgage Holdings Inc)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) and each time the Company:
(i) amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker or supplement but not by means of incorporation of document(s) by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
(ii) files an annual report on Form 1020-K F under the Exchange Act (including any Form 1020-KF/A containing amended financial information or a material amendment to the previously filed Form 1020-KF);
(iii) files a quarterly report on Form 106-Q K under the Exchange ActAct containing quarterly financial information (other than an earnings release that is “furnished”) that is deemed to be incorporated by reference into the Registration Statement and Prospectus; or
(iv) files a current report on Form 86-K under the Exchange Act containing amended financial information (other than an earnings release that is “furnished” pursuant ”) that is deemed to Item 2.02 or Item 7.01 of Form 8-K) under be incorporated by reference into the Exchange Act Registration Statement and Prospectus (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Company shall furnish the Agents Agent (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request Agent requests such certificate within three Business Days after the filing of such Form 86-K with the Commission) with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effect, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which the Company relied on the waiver referred to in the previous sentence and did not provide the Agents Agent with a certificate under this Section 7(m), then before the Company delivers a Placement Notice or the Agents sell Agent sells any Placement Shares pursuant thereto, the Company shall provide the Agents Agent with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents Agent such further information, certificates and documents as the Agents Agent may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Mereo Biopharma Group PLC), Sales Agreement (InflaRx N.V.)
Representation Dates; Certificate. On or prior to During the date on which the Company first delivers a Placement Notice pursuant to term of this agreement (the “First Placement Notice Date”) and Agreement, each time the Company:
Corporation (i) amends or supplements the Registration Statement or files the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) or amends or supplements the Prospectus relating to the Placement Shares by means of a post-effective amendment, sticker an amendment or supplement but not by means of incorporation of document(s) by reference into the Registration Statement or to the Prospectus relating to the Placement Shares;
; (ii) files or amends an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended information form, audited annual financial information statements or a material amendment to the previously filed Form 10-K);
annual management’s discussion and analysis; (iii) files a quarterly report on Form 10-Q under the Exchange Act; or
or amends any interim financial statements or interim management's discussion and analysis or (iv) files a current report on Form 8-K containing amended financial information (at any other than an earnings release that is “furnished” pursuant to Item 2.02 or Item 7.01 of Form 8-K) under time reasonably requested by the Exchange Act Agent (each date of filing of one or more of the documents referred to in clauses (i) through (iii) and any time of request pursuant to (iv) above shall be a “Representation Date”), the Company Corporation shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) Agent with a certificate, in the form attached hereto as Exhibit 7(mA within three (3) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m8(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company Corporation delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Corporation files its audited annual financial statements. Notwithstanding the foregoing, if the Company Corporation subsequently decides to sell Placement Shares following a Representation Date on which when the Company Corporation relied on the such waiver referred to in the previous sentence and did not provide the Agents Agent with a certificate under this Section 7(m8(m), then before the Company Corporation delivers a the Placement Notice or the Agents Agent sell any Placement Shares pursuant theretoShares, the Company Corporation shall provide the Agents Agent with a certificate, in the form attached hereto as Exhibit 7(m)A, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Equity Distribution Agreement (Emerald Health Therapeutics Inc.), Equity Distribution Agreement
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) Delivery Date and each time during the Company:
term of this Agreement the Company (i) amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report Annual Report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a quarterly report its Quarterly Reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report Current Report on Form 8-K containing amended financial information (other than an earnings release that is or other information “furnished” pursuant to Item 2.02 or Item 7.01 of Form 8-Kand not “filed”) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents ▇▇▇▇▇ (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) ▇▇▇▇▇ reasonably determines that the Agents request such certificate within three Business Days after the filing of information contained in such Form 8-K with the Commissionis material to a holder of Common Stock) with a certificate, in the form attached hereto as Exhibit 7(m) within three (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 3) Trading Days of any Representation DateDate if requested by ▇▇▇▇▇. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its Annual Report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents ▇▇▇▇▇ with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell ▇▇▇▇▇ sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents ▇▇▇▇▇ with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Scynexis Inc), Sales Agreement (Scynexis Inc)
Representation Dates; Certificate. On or prior to the date on which First Delivery Date and thereafter during the Company first delivers a Placement Notice pursuant to term of this agreement (the “First Placement Notice Date”) and Agreement, each time the Company:
: (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is or other information “furnished” pursuant to Item Items 2.02 or Item 7.01 of Form 8-K) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) ▇▇▇▇▇ with a certificate, in the form attached hereto as Exhibit 7(magreed to within three (3) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation DateDate if requested by ▇▇▇▇▇. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents ▇▇▇▇▇ with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell ▇▇▇▇▇ sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents ▇▇▇▇▇ with a certificate, in the form attached hereto as Exhibit 7(m)agreed to, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Turning Point Brands, Inc.), Sales Agreement (Turning Point Brands, Inc.)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) and each time the Company:
(i) amends or supplements (other than a prospectus supplement relating solely to the offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l) of this Agreement) by means of a post-effective amendment, sticker or supplement but not by means of incorporation of document(s) by reference into the Registration Statement or the Prospectus relating to the Placement Shares;
(ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files a quarterly report on Form 10-Q under the Exchange Act; or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is “furnished” pursuant to Item 2.02 or Item 7.01 of Form 8-K) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Company shall furnish the Agents Agent (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request Agent requests such certificate within three Business Days after the filing of such Form 8-K with the Commission) with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effect, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which the Company relied on the waiver referred to in the previous sentence and did not provide the Agents Agent with a certificate under this Section 7(m), then before the Company delivers a Placement Notice or the Agents sell Agent sells any Placement Shares pursuant thereto, the Company shall provide the Agents Agent with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents Agent such further information, certificates and documents as the Agents Agent may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Werewolf Therapeutics, Inc.), Sales Agreement (Werewolf Therapeutics, Inc.)
Representation Dates; Certificate. On or prior to the date on which that the Company Securities are first delivers a Placement Notice sold pursuant to the terms of this agreement (the “First Placement Notice Date”) and each time the CompanyAgreement and:
(i) each time the Company files the Prospectus relating to the Placement Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares Securities (other than a prospectus supplement amendments or supplements that are filed in accordance with Section 7(l) solely to report sales of the Placement Securities pursuant to this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement SharesSecurities;
(ii) each time the Company files an annual report Annual Report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K)Act;
(iii) each time the Company files a quarterly report Quarterly Report on Form 10-Q under the Exchange Act; or
(iv) each time the Company files a current report Current Report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company and the Manager shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K Agent with the Commission) with a certificatecertificates, in the form attached hereto as Exhibit 7(m) (modifiedE and Exhibit F, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented)respectively, within two three (3) Trading Days of any after each Representation Date. The requirement to provide a certificate certificates under this Section 7(m7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its Annual Report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date on which when the Company and the Manager relied on the such waiver referred to in the previous sentence and did not provide the Agents Placement Agent with a certificate certificates under this Section 7(m7(o), then before the Company delivers a the Placement Notice or the Agents sell Placement Agent sells any Placement Shares pursuant theretoSecurities, the Company and the Manager shall provide the Agents Placement Agent with a certificatecertificates, in the form attached hereto as Exhibit 7(m)E and Exhibit F, respectively, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Equity Distribution Agreement (Ellington Financial Inc.), Equity Distribution Agreement (Ellington Financial LLC)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) is given hereunder and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than (A) a prospectus supplement filed in accordance with Section 7(l) of this AgreementAgreement or (B) a supplement or amendment that relates to an offering of securities other than the Placement Shares) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report Annual Report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
; (iii) files a quarterly report on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate Sales Agent within three Business (3) Trading Days after the filing of such Form 8-K with the Commission) each Representation Date with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Sales Agent with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell Sales Agent sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents Sales Agent with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Aqua Metals, Inc.), Sales Agreement (Heliogen, Inc.)
Representation Dates; Certificate. On or prior (1) Prior to the date on which of the Company first delivers a Placement Notice pursuant to this agreement and (the “First Placement Notice Date”2) and each time the Company:
(i) amends or supplements files the Registration Statement or the Prospectus Prospectuses relating to the Placement Shares or amends or supplements (other than a prospectus supplement filed in accordance with Section 7(lrelating solely to an offering of securities other than the Placement Shares) of this Agreement) the Registration Statement or the Prospectuses relating to the Placement Shares by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus Prospectuses relating to the Placement Shares;
(ii) files an annual report on Form 1040-K F or 20-F under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K)Act;
(iii) files a quarterly report on Form 106-Q K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Form 6-K or to provide disclosure pursuant to Form 6-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act; or
(iv) files a current report on Form 86-K containing amended financial information (other than an earnings release that is “furnished” pursuant to Item 2.02 or Item 7.01 of Form 8-K) under the Exchange Act for any other purpose (other than to “furnish” information pursuant to revised Form 6-K) (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents Agent (but in the case of clause (iv) above only if (1) a Placement Notice is pending or the Agent reasonably determines that the information contained in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 86-K with the Commissionis material) with a certificatecertificate dated the Representation Date, in the form attached hereto as Exhibit 7(m) (and substance satisfactory to the Agent and its counsel, substantially similar to the form previously provided to the Agent and its counsel, modified, as necessary, to relate to the Registration Statement and the Prospectus Prospectuses as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m7(k) shall be waived for any Representation Date occurring at a time at which no Placement Notice a Suspension is pending or in effect, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a instructions for the sale of Placement Notice Shares hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which the Company relied on the waiver referred to when a Suspension was in the previous sentence effect and did not provide the Agents Agent with a certificate under this Section 7(m7(k), then before the Company delivers a the instructions for the sale of Placement Notice Shares or the Agents sell Agent sells any Placement Shares pursuant theretoto such instructions, the Company shall provide the Agents Agent with a certificate, certificate in the form attached hereto conformity with this Section 7(l) dated as Exhibit 7(m), dated of the date that the instructions for the sale of such Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably requestShares are issued.
Appears in 2 contracts
Sources: Sales Agreement (Aurinia Pharmaceuticals Inc.), Sales Agreement (Aurinia Pharmaceuticals Inc.)
Representation Dates; Certificate. On or prior to the date on which that the Company Securities are first delivers a Placement Notice sold pursuant to the terms of this agreement (the “First Placement Notice Date”) and each time the CompanyAgreement and:
(i) each time the Company files the Prospectus relating to the Placement Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares Securities (other than a prospectus supplement amendments or supplements that are filed in accordance with Section 7(l) solely to report sales of the Placement Securities pursuant to this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement SharesSecurities;
(ii) each time the Company files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K)Act;
(iii) each time the Company files a its quarterly report reports on Form 10-Q under the Exchange Act; or
(iv) each time the Company files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) Agent with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented)G, within two three (3) Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Placement Agent with a certificate under this Section 7(m7(o), then before the Company delivers a the Placement Notice or the Agents sell Placement Agent sells any Placement Shares pursuant theretoSecurities, the Company shall provide the Agents Placement Agent with a certificate, in the form attached hereto as Exhibit 7(m)G, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Equity Distribution Agreement (Northstar Realty Finance Corp.), Equity Distribution Agreement (Northstar Realty Finance Corp.)
Representation Dates; Certificate. On or prior to the date on which that the Company Securities are first delivers a Placement Notice sold pursuant to the terms of this agreement (the “First Placement Notice Date”) and each time the CompanyAgreement and:
(i) each time the Company files the Prospectus relating to the Placement Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares Securities (other than a prospectus supplement amendments or supplements that are filed in accordance with Section 7(l) solely to report sales of the Placement Securities pursuant to this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into the Registration Statement or the Prospectus relating to the Placement SharesSecurities;
(ii) each time the Company files an annual report on Form 10-K under the Exchange Act (including any each date of filing of the Company’s annual report on Form 10-K/A containing amended financial information or K shall be a material amendment to the previously filed Form “10-KK Representation Date”);
(iii) each time the Company files a its quarterly report reports on Form 10-Q under the Exchange Act; or
(iv) each time the Company files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), ; the Company and the Operating Partnership shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) Agent with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented)G, within two three (3) Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date; provided, however, that such waiver shall not apply for any 10-K Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Placement Agent with a certificate under this Section 7(m7(o), then before the Company delivers a the Placement Notice or the Agents sell Placement Agent sells any Placement Shares pursuant theretoSecurities, the Company and the Operating Partnership shall provide the Agents Placement Agent with a certificate, in the form attached hereto as Exhibit 7(m)G, dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Equity Distribution Agreement (Arbor Realty Trust Inc), Equity Distribution Agreement (Arbor Realty Trust Inc)
Representation Dates; Certificate. On or prior to the date on which the Company first delivers a Placement Notice pursuant to this agreement (the “First Placement Notice Date”) is given hereunder and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than (A) a prospectus supplement filed in accordance with Section 7(l) of this AgreementAgreement or (B) a supplement or amendment that relates to an offering of securities other than the Placement Shares) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report Annual Report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
; (iii) files a quarterly report Quarterly Report on Form 10-Q under the Exchange Act; or
or (iv) files a current report Current Report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”), the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate Sales Agent within three Business (3) Trading Days after the filing of such Form 8-K with the Commission) each Representation Date with a certificate, in the form attached hereto as Exhibit 7(m) (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two Trading Days of any Representation Date. The requirement to provide a certificate under this Section 7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents Sales Agent with a certificate under this Section 7(m), then before the Company delivers a the Placement Notice or the Agents sell Sales Agent sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents Sales Agent with a certificate, in the form attached hereto as Exhibit 7(m), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 2 contracts
Sources: Sales Agreement (Power REIT), Sales Agreement (PECK Co HOLDINGS, INC.)
Representation Dates; Certificate. On or prior to the date on which that the Company first delivers a Placement Notice Shares are sold pursuant to the terms of this agreement (the “First Placement Notice Date”) Agreement and each time the Company:
Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(l7(m) of this Agreement) by means of a post-effective amendment, sticker sticker, or supplement but not by means of incorporation of document(s) documents by reference into to the Registration Statement or the Prospectus relating to the Placement Shares;
; (ii) files an annual report on Form 10-K under the Exchange Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
Act; (iii) files a its quarterly report reports on Form 10-Q under the Exchange Act; or
or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release that is release, to “furnishedfurnish” information pursuant to Item Items 2.02 or Item 7.01 of Form 8-KK or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “"Representation Date”"), ; the Company shall furnish the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after the filing of such Form 8-K with the Commission) CF&Co with a certificate, in the form attached hereto as Exhibit 7(m7(n) within three (modified, as necessary, to relate to the Registration Statement and the Prospectus as then amended or supplemented), within two 3) Trading Days of any Representation DateDate if requested by CF&Co. The requirement to provide a certificate under this Section 7(m7(n) shall be is hereby waived for any Representation Date occurring at a time at which no Placement Notice is pending or in effectpending, which waiver shall continue until the earlier to occur of (1) the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and (2) the next occurring Representation Date. ; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date on which when the Company relied on the such waiver referred to in the previous sentence and did not provide the Agents CF&Co with a certificate under this Section 7(m7(n), then before the Company delivers a the Placement Notice or the Agents sell CF&Co sells any Placement Shares pursuant theretoShares, the Company shall provide the Agents CF&Co with a certificate, in the form attached hereto as Exhibit 7(m7(n), dated the date of such the Placement Notice. Within two Trading Days of each Representation Date, the Company shall have furnished to the Agents such further information, certificates and documents as the Agents may reasonably request.
Appears in 1 contract