Common use of Trading Activities Clause in Contracts

Trading Activities. The Investor’s trading activities with respect to the Common Shares shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market. Neither the Investor nor its affiliates has any open short position in the Common Shares, nor has the Investor entered into any hedging transaction that establishes a net short position with respect to the Common Shares, and the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales or hedging transactions with respect to the Common Shares; provided that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right to sell (a) the Common Shares to be issued to the Investor pursuant to the Advance Notice prior to receiving such Common Shares, or (b) other Common Shares issued or sold by the Company to Investor pursuant to this Agreement and which the Company has continuously held as a long position.

Appears in 8 contracts

Samples: Purchase Agreement (Bloomios, Inc.), Purchase Agreement (Australian Oilseeds Holdings LTD), Purchase Agreement (Bloomios, Inc.)

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Trading Activities. The Investor’s trading activities with respect to the Common Shares shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market. Neither the Investor nor its affiliates has any open short position in the Common Shares, nor has the Investor entered into any hedging transaction that establishes a net short position with respect to the Common Shares, and the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales or hedging transactions with respect to the Common Shares; provided that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right to sell (a) the Common Shares to be issued to the Investor pursuant to the Advance Notice prior to receiving such Common Shares, or (b) other Common Shares issued or sold by the Company to Investor pursuant to this Agreement and which the Company has continuously held as a long position.

Appears in 7 contracts

Samples: Equity Distribution Agreement (Braemar Hotels & Resorts Inc.), Registration Rights Agreement (Greenrose Acquisition Corp.), Equity Distribution Agreement (Ashford Hospitality Trust Inc)

Trading Activities. The Investor’s trading activities with respect to the Common Shares Stock shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal MarketMarket on which the Common Stock is listed or traded. Neither the Investor nor its affiliates has any open short position in the Common SharesStock, nor has the Investor entered into any hedging transaction that establishes a net short position with respect to the Common SharesStock, and the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales or hedging transactions with respect to the Common SharesStock; provided that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right to sell (a) the Common Shares shares to be issued to the Investor pursuant to the Advance Notice prior to receiving such Common Shares, or (b) other Common Shares issued or sold by the Company to Investor pursuant to this Agreement and which the Company has continuously held as a long positionshares.

Appears in 6 contracts

Samples: Equity Distribution Agreement (Investview, Inc.), Equity Distribution Agreement (EZTD Inc), Equity Distribution Agreement (Cannabics Pharmaceuticals Inc.)

Trading Activities. The Investor’s trading activities with respect to the Common Shares shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market. Neither the Investor nor its affiliates has any open short position in the Common Shares, nor has the Investor entered into any hedging transaction that establishes a net short position with respect to the Common Shares, and the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales or hedging transactions with respect to the Common Shares; provided that the Company acknowledges and agrees that upon receipt delivery of an Advance a Purchase Notice the Investor has the right to sell (a) the Common Shares to be issued to the Investor pursuant to the Advance Purchase Notice prior to receiving such Common Shares, or (b) other Common Shares issued or sold by the Company to Investor pursuant to this Agreement and which the Company has continuously held as a long position.

Appears in 5 contracts

Samples: Advance Agreement (Canoo Inc.), Pre Paid Advance Agreement (Lightning eMotors, Inc.), Pre Paid Advance Agreement (Orbital Infrastructure Group, Inc.)

Trading Activities. The Investor’s trading activities with respect to the Common Shares Stock shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal MarketMarket on which the Common Stock is listed or traded. Neither the Investor nor its affiliates has any open short position in the Common SharesStock, nor has the Investor entered into any hedging transaction that establishes a net short position with respect to the Common SharesStock, and the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales or hedging transactions with respect to the Common SharesStock; provided that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right to sell (a) the Common Shares to be issued to the Investor pursuant to the Advance Notice prior to receiving such Common Shares, Shares or (b) other shares of Common Shares issued or sold by Stock of the Company to Investor pursuant to this Agreement and which the Company has continuously held that it holds as a long position.

Appears in 3 contracts

Samples: Equity Distribution Agreement (Micronet Enertec Technologies, Inc.), Equity Distribution Agreement (Leafbuyer Technologies, Inc.), Equity Distribution Agreement (Generation Alpha, Inc.)

Trading Activities. The Investor’s trading activities with respect to the Common Shares shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market or Trading Market. Neither the Investor nor its affiliates has any open short position in the Common Shares, nor has the Investor entered into any hedging transaction that establishes a net short position with respect to the Common Shares, and the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales or hedging transactions with respect to the Common Shares; provided that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right to sell (a) the Common Shares to be issued to the Investor pursuant to the Advance Notice prior to receiving such Common Shares, or (b) other Common Shares issued or sold by the Company to Investor pursuant to this Agreement and which the Company has continuously held as a long position.

Appears in 3 contracts

Samples: Purchase Agreement (BitNile Metaverse, Inc.), Purchase Agreement (Cero Therapeutics Holdings, Inc.), Purchase Agreement (BitNile Metaverse, Inc.)

Trading Activities. The Investor’s trading activities with respect to the Common Shares shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market. Neither the Investor nor its affiliates has any open short position in the Common Shares, nor has the Investor entered into any hedging transaction that establishes a net short position with respect to the Common Shares, and the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales or hedging transactions with respect to the Common Shares; provided that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right to sell (a) the Common Shares to be issued to the Investor pursuant to the Advance Notice prior to receiving such Common Sharesshares, or (b) other Common Shares issued or sold by of the Company to Investor pursuant to this Agreement and which the Company has continuously held that it holds as a long position.

Appears in 3 contracts

Samples: Equity Distribution Agreement (Ideanomics, Inc.), Equity Distribution Agreement (Ideanomics, Inc.), Equity Distribution Agreement (Ideanomics, Inc.)

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Trading Activities. The Investor’s trading activities with respect to the Common Ordinary Shares shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market. Neither the Investor nor its affiliates has any open short position in the Common Ordinary Shares, nor has the Investor entered into any hedging transaction that establishes a net short position with respect to the Common Ordinary Shares, and the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales or hedging transactions with respect to the Common Ordinary Shares; provided that the Company acknowledges and agrees that upon receipt delivery of an Advance Notice the Investor has the right to sell (a) the Common Advance Shares to be issued to the Investor pursuant to the Advance Notice prior to receiving such Common Advance Shares, or (b) other Common Ordinary Shares issued or sold by the Company to Investor pursuant to this Agreement and which the Company has continuously held as a long position.

Appears in 2 contracts

Samples: Equity Purchase Agreement (Taoping Inc.), Equity Purchase Agreement (Taoping Inc.)

Trading Activities. The Investor’s trading activities with respect to the Common Shares Stock shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market. Neither the Investor nor its affiliates has any open short position in the Common SharesStock, nor has the Investor entered into any hedging transaction that establishes a net short position with respect to the Common SharesStock, and the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales or hedging transactions with respect to the Common SharesStock; provided that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right to sell (a) the Common Shares Stock to be issued to the Investor pursuant to the Advance Notice prior to receiving such Common SharesStock, or (b) other Common Shares Stock issued or sold by the Company to Investor pursuant to this Agreement and which the Company has continuously held as a long position.

Appears in 1 contract

Samples: Purchase Agreement (iCoreConnect Inc.)

Trading Activities. The Investor’s trading activities with respect to the Common Shares shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market. Neither the Investor nor its affiliates has any open short position in the Common Shares, nor has the Investor entered into any hedging transaction that establishes a net short position with respect to the Common Shares, and the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales or hedging transactions with respect to the Common Shares; provided that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right to sell (a) the Common Shares to be issued to the Investor pursuant to the Advance Notice prior to receiving such Common Shares, or (b) other Common Shares issued or sold by the Company to Investor pursuant to this Agreement and which the Company has continuously held as a long position.

Appears in 1 contract

Samples: Equity Distribution Agreement (NLS Pharmaceutics Ltd.)

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