NASDAQ Rule definition
Examples of NASDAQ Rule in a sentence
The Company shall not make any offers or sales of any security (other than the Securities) under circumstances that would require registration of the Securities being offered or sold hereunder under the Securities Act or cause this offering of Securities to be integrated with any other offering of securities by the Company for purposes of NASDAQ Rule 4460(i).
The Company may be limited in the number of shares of Common Stock it may issue by virtue of (i) the number of authorized shares or (ii) the applicable rules and regulations of the principal securities market on which the Common Stock is listed or traded, including, but not necessarily limited to, NASDAQ Rule 4310(c)(25)(H)(i)(d)(2) (collectively, the "Cap Regulations").
If applicable to the Company, the Company may be limited in the number of shares of Common Stock it may issue by virtue of (i) the number of authorized shares or (ii) the applicable rules and regulations of the principal securities market on which the Common Stock is listed or traded, including, but not necessarily limited to, NASDAQ Rule 4310(c)(25)(H)(i) or Rule 4460(i)(1), as may be applicable (collectively, the "Cap Regulations").
To the Company’s knowledge, there are no material violations of the Company’s code of conduct, adopted pursuant to NASDAQ Rule 4350(n).
After the Acceptance Time, the Company shall also, upon the Purchaser’s request, take all action necessary to elect to be treated as a “controlled company” as defined by NASDAQ Rule 4350(c) and make all necessary filings and disclosures associated with such status.
Subject to obtaining Stockholder Approval, the issuance of Securities hereunder (other than the Exchangeable Preferred) is not and at the time of issuance of such Securities will not be in violation, breach or contravention of any rule or other requirement or any criteria for listing or continued trading through NASDAQ (a "NASDAQ Rule") and does not and will not require any consent of NASDAQ.
Notwithstanding anything herein to the contrary, the maximum number of shares of Common Stock issued or issuable pursuant to this Warrant and all additional Warrants issued pursuant to Section 2.10 of the Facility Agreement may not exceed the aggregate number of shares of Common Stock which the Company may issue upon exercise of the Warrants without violating NASDAQ Rule 5635(d).
The Option is intended to qualify as an inducement option within the meaning of NASDAQ Rule 4350 (i)(1)(A)(iv).
The issuance of Exchangeable Preferred hereunder is not and at the time of issuance of such Exchangeable Preferred will not be in violation, breach or contravention of any NASDAQ Rule and does not and will not require any consent of NASDAQ.
Notwithstanding anything herein to the contrary, the Issuance Restrictions of this Section 2 shall be inapplicable to any Warrants issued with an exercise price at the greater of the book or market value pursuant to NASDAQ Rule 5635(d).