Securities Act Exemption. The Exchange is being effected pursuant to an exemption from registration under the Securities Act, including but not limited to Section 3(a)(9) thereof.
Appears in 5 contracts
Sources: Exchange Agreement (OptimumBank Holdings, Inc.), Exchange Agreement (Hanover Bancorp, Inc. /NY), Exchange Agreement (Pathfinder Bancorp, Inc.)
Securities Act Exemption. The Exchange is being effected pursuant to an exemption nonexclusive exemptions from registration under the Securities Act, including but not limited to Section to, Sections 3(a)(9) and 4(a)(2) thereof.
Appears in 2 contracts
Sources: Redemption and Exchange Agreement (FiscalNote Holdings, Inc.), Exchange and Settlement Agreement (FiscalNote Holdings, Inc.)
Securities Act Exemption. The Exchange is being effected pursuant to an exemption from registration under the Securities Act of 1933 (as amended, the “Securities Act”), including but not limited to Section 3(a)(9) thereof.
Appears in 1 contract
Securities Act Exemption. The Exchange is being effected pursuant to an exemption from registration under the Securities Act of 1933, as amended (the “Securities Act”), including but not limited to Section 3(a)(9) thereof.
Appears in 1 contract
Sources: Exchange Agreement (Castle Creek Capital Partners VI, LP)
Securities Act Exemption. The Each Exchange is being effected pursuant to an exemption from registration under the Securities Act, including but not limited to Section 3(a)(9) thereof.
Appears in 1 contract
Sources: Securities Purchase Agreement (Blue Ridge Bankshares, Inc.)
Securities Act Exemption. The Exchange is being effected pursuant to an exemption from registration under the Securities Act, including but not limited to Section 3(a)(9) thereof..
Appears in 1 contract