Common use of Compliance with Securities Laws on Transfer Clause in Contracts

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transferee.

Appears in 37 contracts

Samples: Adoption Agreement (Kiromic Biopharma, Inc.), 17 Education & Technology Group Inc., 17 Education & Technology Group Inc.

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Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transferee.

Appears in 30 contracts

Samples: Recruiter.com Group, Inc., MOVING iMAGE TECHNOLOGIES INC., MOVING iMAGE TECHNOLOGIES INC.

Compliance with Securities Laws on Transfer. This Warrant and and/or the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transferee, and in connection with any proposed transfer of this Warrant or the Shares to any Person other than an Affiliate of the Holder, the transferor shall, if reasonably requested by the Company, deliver a legal opinion of counsel to the transferor (at the transferor’s expense).

Appears in 10 contracts

Samples: Purchase Stock (Acer Therapeutics Inc.), Katapult Holdings, Inc., Acer Therapeutics Inc.

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transfereetransferee (including, without limitation, the delivery of investment representation letters and legal opinions reasonably satisfactory to the Company, as reasonably requested by the Company).

Appears in 9 contracts

Samples: Kaltura Inc, Kaltura Inc, Kaltura Inc

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transferee.

Appears in 6 contracts

Samples: Purchase and Sale Agreement (Baudax Bio, Inc.), Purchase and Sale Agreement (Alkermes Plc.), Purchase and Sale Agreement (Recro Pharma, Inc.)

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transferee.

Appears in 5 contracts

Samples: Loan and Security Agreement (Accolade, Inc.), Loan and Security Agreement (Accolade, Inc.), AquaVenture Holdings LTD

Compliance with Securities Laws on Transfer. This Warrant warrant and the Shares issuable upon exercise of this Warrant warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transferee.

Appears in 5 contracts

Samples: Liposcience Inc, Liposcience Inc, Liposcience Inc

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable issued upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without except in compliance with applicable federal and state securities laws by the transferor and the transferee.transferee (including, without limitation, the delivery of investment representation letters and legal opinions reasonably satisfactory to the Company, as reasonably requested by the Company). The Company shall not require Holder to provide an opinion of counsel if the transfer is an affiliate of

Appears in 4 contracts

Samples: Sientra, Inc., Sientra, Inc., Sientra, Inc.

Compliance with Securities Laws on Transfer. This Warrant and the Warrant Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Warrant Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transfereetransferee (including, without limitation, the delivery of investment representation letters and legal opinions reasonably satisfactory to the Company).

Appears in 3 contracts

Samples: Tefron LTD, Tefron LTD, Lieberman Martin

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable issued upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without except with respect to transfers and assignments to Affiliates of the Holder or otherwise in compliance with applicable federal and state securities laws by the transferor and the transfereetransferee (including, without limitation, the delivery of investment representation letters and legal opinions reasonably satisfactory to the Company, as reasonably requested by the Company).

Appears in 3 contracts

Samples: Adma Biologics, Inc., Adma Biologics, Inc., Adma Biologics, Inc.

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transferee.transferee (including, without limitation, the delivery of investment representation letters and legal opinions reasonably satisfactory to the Company, as reasonably requested by the

Appears in 3 contracts

Samples: Purchase Stock (Channeladvisor Corp), Purchase Stock (Channeladvisor Corp), Purchase Stock (Volcano CORP)

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transfereetransferee (including, without limitation, the delivery of investment representation letters and legal opinions reasonably satisfactory to Company, as reasonably requested by Company).

Appears in 2 contracts

Samples: Sunesis Pharmaceuticals Inc, Sunesis Pharmaceuticals Inc

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without except in compliance with applicable federal and state securities laws by the transferor and the transfereetransferee (including, without limitation, the delivery of investment representation letters and legal opinions reasonably satisfactory to the Company, as reasonably requested by the Company).

Appears in 2 contracts

Samples: Loan and Security Agreement (Sientra, Inc.), Sierra Oncology, Inc.

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transfereetransferee (including, without limitation, the delivery of investment representation letters and legal opinions reasonably acceptable to the Company, as reasonably requested by the Company).

Appears in 2 contracts

Samples: LDR Holding Corp, Homeaway Inc

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal federal, state and state foreign securities laws by the transferor and the transfereetransferee (including, without limitation, the delivery of investment representation letters and legal opinions upon the request of the Company, which shall be reasonably satisfactory to the Company).

Appears in 2 contracts

Samples: ConversionPoint Holdings, Inc., ConversionPoint Holdings, Inc.

Compliance with Securities Laws on Transfer. This Warrant and the Warrant Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Warrant Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transferee.

Appears in 2 contracts

Samples: NuGene International, Inc., NuGene International, Inc.

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without except in compliance with (i) applicable federal and state securities laws by the transferor and the transferee.transferee (including, without limitation, the delivery of investment representation letters and legal opinions reasonably satisfactory to the Company, as reasonably requested by the

Appears in 2 contracts

Samples: Peloton Interactive, Inc., Peloton Interactive, Inc.

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transfereetransferee (including, without limitation, delivery of investment representation letters).

Appears in 2 contracts

Samples: NanoString Technologies Inc, NanoString Technologies Inc

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transferee.

Appears in 2 contracts

Samples: Phreesia, Inc., Phreesia, Inc.

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable issued upon exercise of this Warrant Warrant, if any (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be offered, sold, hedged, pledged or otherwise transferred or assigned in whole or in part without except in compliance with applicable federal and state securities laws by all parties to such offer, sale, hedge, pledge or other transfer (including, without limitation, the transferor delivery of investment representation letters and legal opinions reasonably satisfactory to the transfereeCompany, as reasonably requested by the Company).

Appears in 2 contracts

Samples: Fifth Street Asset Management Inc., Cytrx Corp

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transferee.transferee (including, without limitation, the delivery of investment representation letters and legal opinions

Appears in 1 contract

Samples: Accelgraphics Inc

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transferee.transferee (including, without

Appears in 1 contract

Samples: Loan and Security Agreement (Anda Networks Inc)

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transferee.

Appears in 1 contract

Samples: Reliant Technologies Inc

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, . if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transferee.

Appears in 1 contract

Samples: Registration Rights Agreement (Wave Systems Corp)

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant Wan-ant (and the securities issuable, . directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transferee.

Appears in 1 contract

Samples: Registration Rights Agreement (Wave Systems Corp)

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Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transferee.transferee (including, without limitation, the delivery of investment representation letters and legal opinions reasonably satisfactory to the Company, as reasonably requested by the Company). The Company shall

Appears in 1 contract

Samples: E Sync Networks Inc

Compliance with Securities Laws on Transfer. This Warrant and ------------------------------------------- the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transfereetransferee (including, without limitation, the delivery of investment representation letters and legal opinions reasonably satisfactory to the Company, as reasonably requested by the Company).

Appears in 1 contract

Samples: Phase2media Inc

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of OF this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transfereetransferee (including, without limitation, the delivery of investment representation letters and legal opinions reasonably satisfactory to the Company, if reasonably requested by the Company).

Appears in 1 contract

Samples: Vista Medical Technologies Inc

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transfereetransferee (including, without limitation, the delivery of investment representation letters).

Appears in 1 contract

Samples: ARYx Therapeutics, Inc.

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transferee, including but not limited to investment representation letters and legal opinions satisfactory to the Company.

Appears in 1 contract

Samples: Celator Pharmaceuticals Inc

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole Whole or in part without compliance with applicable federal and state securities laws by the transferor and the transferee.

Appears in 1 contract

Samples: Newgistics, Inc

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transfereetransferee (including, without limitation, the delivery of investment representation letters and legal opinions reasonably satisfactory to the Company).

Appears in 1 contract

Samples: Hypermedia Communications Inc

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transfereetransferee (including, without limitation, the delivery of investment representation letters and legal opinions reasonably satisfactory to the Company, if reasonably requested by the Company).

Appears in 1 contract

Samples: Petopia Com Inc

Compliance with Securities Laws on Transfer. This Warrant and the Warrant Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Warrant Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transferee.

Appears in 1 contract

Samples: Hyperion Therapeutics Inc

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transferee.the

Appears in 1 contract

Samples: Extensity Inc

Compliance with Securities Laws on Transfer. This Warrant and the Shares Underlying Securities issuable upon exercise or conversion of this Warrant (and the securities issuable, directly or indirectly, upon conversion or exchange of the SharesUnderlying Securities, if any) may not be transferred or assigned in whole or in part without compliance with applicable U.S. federal and state and Canadian provincial securities laws by the transferor and the transfereetransferee (which may include, without limitation, the delivery of investment representation letters and legal opinions reasonably satisfactory to the Companies).

Appears in 1 contract

Samples: Warrant (Combinatorx, Inc)

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transfereetransferee (including, without limitation, the delivery of investment representation letters and legal opinions reasonably satisfactory to the Company, as reasonably requested by the Company).

Appears in 1 contract

Samples: Iphysician Net Inc

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise or conversion of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable federal and state securities laws by the transferor and the transferee.

Appears in 1 contract

Samples: Angie's List, Inc.

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without compliance with applicable Canadian, federal and state securities laws by the transferor and the transfereetransferee and with the rules of any stock exchange on which the share of the Company's common stock is traded.

Appears in 1 contract

Samples: Lc Capital Master Fund LTD

Compliance with Securities Laws on Transfer. This Warrant and the Shares issuable issued upon exercise of this Warrant (and the securities issuable, directly or indirectly, upon conversion of the Shares, if any) may not be transferred or assigned in whole or in part without except with respect to transfers and assignments to affiliates of the Holder or otherwise in compliance with applicable federal and state securities laws by the transferor and the transfereetransferee (including, without limitation, the delivery of investment representation letters and legal opinions reasonably satisfactory to the Company, as reasonably requested by the Company).

Appears in 1 contract

Samples: Adma Biologics, Inc.

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