Section 3(a)(9) Clause Samples

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Section 3(a)(9). The Holder understands and agrees that the issuance of the Exchange Warrant and the Exchange Warrant Shares is intended to be exempt from registration under the Securities Act pursuant to Section 3(a)(9)
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Section 3(a)(9). It is the belief and the intent of the Parties that the issuance of the Settlement Shares and Warrant in exchange for the Promissory Note classifies as an exchange of one security of the Borrower into other securities of the Borrower and otherwise satisfies the requirements of Section 3(a)(9) of the Securities Act such that the Settlement Shares and Warrant shall tack to the holding period of the Promissory Note.
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Section 3(a)(9). The exchange of the Securities for the Exchange Shares is being made in reliance upon the exemption from registration provided by Section 3(a)(9) of the Securities Act.
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Related to Section 3(a)(9)

  • SECTION 9 OF THE 1934 ACT During the term of this Agreement, the Investor will comply with the provisions of Section 9 of the 1934 Act, and the rules promulgated thereunder, with respect to transactions involving the Common Stock. The Investor agrees not to sell the Company's stock short, either directly or indirectly through its affiliates, principals or advisors, the Company's common stock during the term of this Agreement.