Common use of Compliance with Registration Requirements Clause in Contracts

Compliance with Registration Requirements. The Registration Statement has become effective under the Securities Act. The Company has complied, to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 76 contracts

Samples: Underwriting Agreement (Perceptive Capital Solutions Corp), Underwriting Agreement (Perception Capital Corp. II), Underwriting Agreement (Foresite Life Sciences Corp.)

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Compliance with Registration Requirements. The Registration Statement has become effective under the Securities Act. The Company has complied, to the Commission’s satisfaction satisfaction, with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 69 contracts

Samples: Underwriting Agreement (USA Acquisition Corp.), Underwriting Agreement (Founder SPAC), Underwriting Agreement (Founder SPAC)

Compliance with Registration Requirements. The Registration Statement has become effective under the Securities Act. The Company has complied, to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 67 contracts

Samples: Underwriting Agreement (Silvaco Group, Inc.), Underwriting Agreement (Alto Neuroscience, Inc.), Underwriting Agreement (Hunt Companies Acquisition Corp. I)

Compliance with Registration Requirements. The Registration Statement has become been declared effective by the Commission under the Securities Act. The Company has complied, to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and and, to the knowledge of the Fund or the Adviser, no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are or contemplated or threatened by the Commission.

Appears in 24 contracts

Samples: Sales Agreement (Guggenheim Taxable Municipal Managed Duration Trust), Sales Agreement (Guggenheim Strategic Opportunities Fund), Sales Agreement (Guggenheim Credit Allocation Fund)

Compliance with Registration Requirements. The Registration Statement has become effective under the Securities Act. The Company has complied, to the Commission’s satisfaction satisfaction, with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 21 contracts

Samples: Underwriting Agreement (Evofem Biosciences, Inc.), Underwriting Agreement (Forum Merger IV Corp), Underwriting Agreement (Forum Merger IV Corp)

Compliance with Registration Requirements. The Registration Statement has become and any Rule 462(b) Registration Statement became automatically effective upon filing with the Commission under the Securities Act. The Company has complied, complied to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement or any Rule 462(b) Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 13 contracts

Samples: Equity Distribution Agreement (Essex Portfolio Lp), Equity Distribution Agreement (Essex Portfolio Lp), Terms Agreement (Essex Portfolio Lp)

Compliance with Registration Requirements. The Registration Statement has become and any Rule 462(b) Registration Statement have been declared effective by the Commission under the Securities Act. The Company has complied, complied to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if anyinformation related to the Registration Statement or the Prospectus. No stop order suspending the effectiveness of the Registration Statement or any Rule 462(b) Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 11 contracts

Samples: Sales Agreement (Flux Power Holdings, Inc.), Sales Agreement (Cyclacel Pharmaceuticals, Inc.), Sales Agreement (CASI Pharmaceuticals, Inc.)

Compliance with Registration Requirements. The Registration Statement has become been declared effective by the Commission under the Securities Act. The Company has complied, to the Commission’s satisfaction complied with all requests of the Commission for additional or supplemental information, if anyinformation related to the Registration Statement or the Prospectus. No stop order suspending the effectiveness of the Registration Statement or any Rule 462(b) Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 8 contracts

Samples: Sales Agreement (Capricor Therapeutics, Inc.), Sales Agreement (Marathon Patent Group, Inc.), Common Stock (Myos Rens Technology Inc.)

Compliance with Registration Requirements. The Registration Statement has become effective under the Securities Act. The Company has complied, to the Commission’s satisfaction complied with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 6 contracts

Samples: Underwriting Agreement (Real Good Food Company, Inc.), Underwriting Agreement (Real Good Food Company, Inc.), Underwriting Agreement (Evolus, Inc.)

Compliance with Registration Requirements. The Registration Statement has and the Exchange Act Registration Statement (as defined below) have become effective under the Securities Act. The Company has complied, to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 6 contracts

Samples: Underwriting Agreement (AMCI Acquisition Corp. II), Underwriting Agreement (AMCI Acquisition Corp. II), Underwriting Agreement (AMCI Acquisition Corp. II)

Compliance with Registration Requirements. The Registration Statement has become and any Rule 462(b) Registration Statement have been declared effective by the Commission under the Securities Act. The Company has complied, complied to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement or any Rule 462(b) Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 5 contracts

Samples: Distribution Agreement (Essex Property Trust Inc), Sales Agreement (Essex Property Trust Inc), Sales Agreement (Essex Property Trust Inc)

Compliance with Registration Requirements. The Registration Statement has become been declared effective by the Commission under the Securities Act. The Company has complied, complied to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if anyinformation related to the Registration Statement or the Prospectus. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 5 contracts

Samples: Underwriting Agreement (UpHealth, Inc.), Underwriting Agreement (UpHealth, Inc.), Underwriting Agreement (PepperLime Health Acquisition Corp)

Compliance with Registration Requirements. (i) The Registration Statement has become effective under effective, and no order suspending the Securities Act. The Company effectiveness of the Registration Statement has complied, to been issued by the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment thereto is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, the Adviser or BDC Partners, are contemplated or threatened by the Commission.

Appears in 5 contracts

Samples: Underwriting Agreement (TICC Capital Corp.), Underwriting Agreement (TICC Capital Corp.), Underwriting Agreement (TICC Capital Corp.)

Compliance with Registration Requirements. The Registration Statement has become effective under the Securities Act. The Company has complied, to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company’s knowledge, are contemplated or threatened by the Commission.

Appears in 4 contracts

Samples: Underwriting Agreement (Apogee Therapeutics, Inc.), Underwriting Agreement (Milestone Pharmaceuticals Inc.), Underwriting Agreement (Iroko Pharmaceuticals Inc.)

Compliance with Registration Requirements. The Registration Statement has become effective under the Securities Act. The Company has complied, to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if anyeffective. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 3 contracts

Samples: Underwriting Agreement (Walter Industries Inc /New/), Underwriting Agreement (Walter Industries Inc /New/), Mueller Water Products, Inc.

Compliance with Registration Requirements. The Registration Statement has become and any Rule 462(b) Registration Statement have been declared effective by the Commission under the Securities Act. The Company has complied, complied to the Commission’s 's satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement or any Rule 462(b) Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 3 contracts

Samples: Underwriting Agreement (Semitool Inc), Underwriting Agreement (Emulex Corp /De/), Underwriting Agreement (JDS Uniphase Corp /Ca/)

Compliance with Registration Requirements. The Registration Statement has become effective under the Securities Act. The To the Company’s knowledge, the Company has complied, complied to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 3 contracts

Samples: Underwriting Agreement (Zoe's Kitchen, Inc.), Zoe's Kitchen, Inc., Zoe's Kitchen, Inc.

Compliance with Registration Requirements. The Registration Statement has become effective under the Securities Act. The Company has complied, complied to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 3 contracts

Samples: Underwriting Agreement (Acadia Healthcare Company, Inc.), Underwriting Agreement (Acadia Healthcare Company, Inc.), Underwriting Agreement (Acadia Healthcare Company, Inc.)

Compliance with Registration Requirements. (i) The Registration Statement has become effective under effective, and no order suspending the Securities Act. The Company effectiveness of the Registration Statement has complied, to been issued by the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, the Adviser or BDC Partners, are contemplated or threatened by the Commission.

Appears in 3 contracts

Samples: Underwriting Agreement (TICC Capital Corp.), Underwriting Agreement (Technology Investment Capital Corp), Underwriting Agreement (T-Equity Capital Corp.)

Compliance with Registration Requirements. The Registration Statement has become effective under the Securities Act. The Company has complied, to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 2 contracts

Samples: Underwriting Agreement (Osmotica Pharmaceuticals PLC), Underwriting Agreement (Osmotica Pharmaceuticals LTD)

Compliance with Registration Requirements. The Registration Statement has become effective under the Securities Act. The Company has complied, to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and and, to the knowledge of the Company, no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, or are contemplated or threatened by the Commission.

Appears in 2 contracts

Samples: Underwriting Agreement (Auris Medical Holding AG), Underwriting Agreement (Auris Medical Holding AG)

Compliance with Registration Requirements. The Registration Statement has become effective under the Securities Act. The Company has complied, to the Commission’s satisfaction satisfaction, with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose or under Section 8A of the Securities Act have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 2 contracts

Samples: Underwriting Agreement (Omega Alpha SPAC), Underwriting Agreement (Omega Alpha SPAC)

Compliance with Registration Requirements. The Registration Statement has become effective under the Securities Act. The Company has complied, to the Commission’s satisfaction satisfaction, with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission. The Company is a “foreign private issuer” within the meaning of Rule 405 under the Securities Act.

Appears in 2 contracts

Samples: Underwriting Agreement (Gambling.com Group LTD), NeuroDerm Ltd.

Compliance with Registration Requirements. The Registration Statement has become effective under the Securities Act. The Company has complied, to the Commission’s satisfaction satisfaction, with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission. The Company is a “foreign private issuer” within the meaning of Rule 405 under the Securities Act.

Appears in 2 contracts

Samples: Underwriting Agreement, Underwriting Agreement (UroGen Pharma Ltd.)

Compliance with Registration Requirements. The Registration Statement has become effective under the Securities Act. The Company has complied, complied to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 2 contracts

Samples: Equity Distribution Agreement (DXP Enterprises Inc), Equity Distribution Agreement (DXP Enterprises Inc)

Compliance with Registration Requirements. The Registration Statement has become effective under the Securities Act. The Company has complied, to the Commission’s satisfaction with all requests of the Commission received prior to or on the date hereof for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect effect, and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 2 contracts

Samples: Underwriting Agreement (LF Capital Acquisition Corp. II), Underwriting Agreement (LF Capital Acquisition Corp. II)

Compliance with Registration Requirements. The Registration Statement has become and any Rule 462(b) Registration Statement have been declared effective by the Commission under the Securities Act. The Company has complied, to the Commission’s satisfaction complied with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement or any Rule 462(b) Registration Statement is in effect effect, and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 2 contracts

Samples: Underwriting Agreement (Wireless Ronin Technologies Inc), Underwriting Agreement (Wireless Ronin Technologies Inc)

Compliance with Registration Requirements. The Registration Statement has become effective under the Securities Act. The Company has complied, to the Commission’s satisfaction satisfaction, with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission. The Company is a “foreign private issuer” within the meaning of Rule 405 under the Act.

Appears in 2 contracts

Samples: Underwriting Agreement (Parnell Pharmaceuticals Holdings LTD), Underwriting Agreement (Parnell Pharmaceuticals Holdings Pty LTD)

Compliance with Registration Requirements. The Registration Statement has become effective under the Securities Act. The Company has complied, to the Commission’s satisfaction satisfaction, with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and and, to the knowledge of the Company, no proceedings for such purpose have been instituted or instituted, are pending or, to the best knowledge of the Company, or are contemplated or threatened by the Commission.

Appears in 2 contracts

Samples: Underwriting Agreement (Affimed N.V.), Underwriting Agreement (Affimed N.V.)

Compliance with Registration Requirements. The Registration Statement has become effective on September 4, 2019 upon filing pursuant to Rule 467(a) under the Securities Act. The Company has complied, to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (BELLUS Health Inc.)

Compliance with Registration Requirements. The Original Registration Statement has become will be or became effective under the Securities ActAct prior to the issuance of any Issuance Notices by the Company. The Company has complied, complied to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if anyinformation with respect to the Registration Statement. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 1 contract

Samples: SQZ Biotechnologies Co

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Compliance with Registration Requirements. The Registration Statement has become been declared effective under the Securities Act. The Company has complied, to the Commission’s satisfaction satisfaction, with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission. The Company is eligible to use the forms and rules designated for a “foreign private issuer” pursuant to Rule 405 under the Securities Act.

Appears in 1 contract

Samples: Underwriting Agreement (NewAmsterdam Pharma Co N.V.)

Compliance with Registration Requirements. The Registration Statement has become effective under the Securities Act. The Company has complied, to the Commission’s satisfaction satisfaction, with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission. The Exchange Act Registration Statement has become effective as provided in Section 12 of the Exchange Act.

Appears in 1 contract

Samples: Underwriting Agreement (Lucid Diagnostics Inc.)

Compliance with Registration Requirements. The Registration Statement has become effective on December 14, 2021 pursuant to Rule 467(b) under the Securities Act. The Company has complied, to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (BELLUS Health Inc.)

Compliance with Registration Requirements. The Registration Statement has become and any Rule 462(b) Registration Statement have been declared effective by the Commission under the Securities Act. The Company has complied, to the Commission’s satisfaction complied with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement or any Rule 462(b) Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company’s knowledge, are contemplated or threatened by the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (Claymont Steel Holdings, Inc.)

Compliance with Registration Requirements. The Registration Statement has become effective under the Securities Acteffective. The Company has complied, to the Commission’s satisfaction complied with all requests of the Commission for additional support or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (Mueller Water Products, Inc.)

Compliance with Registration Requirements. The Registration Statement has become effective on [ ], 2020 upon filing pursuant to Rule 467(a) under the Securities Act. The Company has complied, to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (Absolute Software Corp)

Compliance with Registration Requirements. The Registration Statement has become effective on January 21, 2020 pursuant to Rule 467(b) under the Securities Act. The Company has complied, to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (BELLUS Health Inc.)

Compliance with Registration Requirements. (i) The Registration Statement has become and any Rule 462(b) Registration Statement have been declared effective by the Commission under the Securities Act. The Company has complied, complied to the Commission’s 's satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement or any Rule 462(b) Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending orpending, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 1 contract

Samples: Orderly Marketing Agreement (Keryx Biophamaeuticals Inc)

Compliance with Registration Requirements. The Registration Statement has become been declared effective under the Securities Act. The Company has complied, to the Commission’s satisfaction satisfaction, with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (Establishment Labs Holdings Inc.)

Compliance with Registration Requirements. The Registration Statement has become effective under the Securities Act. The To the Company’s knowledge, the Company has complied, to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose or cease-and-desist proceedings pursuant to Section 8A of the Securities Act have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (Fogo De Chao, Inc.)

Compliance with Registration Requirements. The Registration Statement has become effective under the Securities Act. The Company has complied, to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. No been declared effective; no stop order suspending the effectiveness of the Registration Statement is in effect effect, and no proceedings for such purpose have been instituted or are pending before or, to the best knowledge of the Company’s knowledge, are contemplated or threatened by the Commission. The Company has complied, to the Commission’s satisfaction, with all requests of the Commission for additional or supplemental information pertaining to the Registration Statement, if any.

Appears in 1 contract

Samples: Chimerix Inc

Compliance with Registration Requirements. The Registration Statement has become been declared effective by the Commission under the Securities Act. The Company has complied, complied to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if anyinformation related to the Registration Statement or the Prospectus. No stop order suspending the effectiveness of the Registration Statement or any Rule 462(b) Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 1 contract

Samples: Common Stock Sales Agreement (Caladrius Biosciences, Inc.)

Compliance with Registration Requirements. The Registration Statement has become been declared effective by the Commission under the Securities Act. The Company has complied, to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (Stalwart Tankers Inc.)

Compliance with Registration Requirements. (i) The Registration Statement has become been filed with the Commission under the Securities Act and has been declared effective under the Securities Act. The Company has complied, to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect effect, and no proceedings for such purpose have been instituted or are pending before or, to the best knowledge of the CompanyIssuer, are contemplated or threatened by the Commission. True and accurate copies of the Registration Statement and each of the amendments thereto have been delivered by the Issuer to the Placement Agent.

Appears in 1 contract

Samples: Placement Agent Agreement (International Stem Cell CORP)

Compliance with Registration Requirements. The Registration Statement has become been declared effective by the Commission under the Securities Act. The Company has complied, to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and and, to the knowledge of the Fund, no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are or contemplated or threatened by the Commission.

Appears in 1 contract

Samples: Sales Agreement (Fiduciary/Claymore MLP Opportunity Fund)

Compliance with Registration Requirements. The Registration Statement has become been declared effective by the Commission under the Securities Act. The Company has complied, to the Commission’s satisfaction complied with all requests requests, if any, of the Commission for additional or supplemental information, if anyinformation related to the Registration Statement or the Prospectus. No stop order suspending the effectiveness of the Registration Statement or any Rule 462(b) Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 1 contract

Samples: Common Stock (Savara Inc)

Compliance with Registration Requirements. The Registration Statement has become effective under the Securities Act. The Company has complied, to the Commission’s satisfaction satisfaction, with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company’s knowledge, are contemplated or threatened by the Commission.. At the time the Company’s Annual Report on Form 10-K for the year ended December 27,

Appears in 1 contract

Samples: Underwriting Agreement (Chefs' Warehouse, Inc.)

Compliance with Registration Requirements. (i) The Registration Statement has become been declared effective by the Commission under the Securities Act. The Company has complied, to the Commission’s satisfaction complied with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement or any Rule 462(b) Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company's knowledge, are contemplated or threatened by the Commission.

Appears in 1 contract

Samples: Keryx Biopharmaceuticals Inc

Compliance with Registration Requirements. The Original Registration Statement has become and any Rule 462(b) Registration Statement have been declared effective by the Commission under the Securities Act. The Company has complied, complied to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement or any Rule 462(b) Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 1 contract

Samples: Wejo Group LTD

Compliance with Registration Requirements. The Registration Statement has become effective under the Securities Act. The Company has complied, complied to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (Xenon Pharmaceuticals Inc.)

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