Common use of Disclosure Controls and Procedures Clause in Contracts

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with Rule 13a-15 or 15d-15 under the Exchange Act Regulations applicable to it, and such controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings and other public disclosure documents.

Appears in 16 contracts

Samples: Underwriting Agreement (Wearable Devices Ltd.), Underwriting Agreement (Hanryu Holdings, Inc.), Underwriting Agreement (Hanryu Holdings, Inc.)

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Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) of the Exchange Act) that will comply with Rule 13a-15 or 15d-15 under the requirements of the Exchange Act Regulations applicable to it, and such Act. Such disclosure controls and procedures are effective have been designed to ensure that all material information concerning relating to the Company will be made known on a timely basis is accumulated and communicated to the individuals responsible for the preparation of the Company’s Exchange Act filings management, including the Company’s principal executive officer and other public disclosure documentsprincipal financial officer, by others within those entities.

Appears in 15 contracts

Samples: Securities Purchase Agreement (Imageware Systems Inc), Exchange Agreement (Imageware Systems Inc), Securities Purchase Agreement (Imageware Systems Inc)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 of the General Rules and Regulations under the Exchange Act Regulations applicable Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to itensure that information required to be disclosed by the Company and its Subsidiaries is accumulated and communicated to the Company’s management, including the Company’s principal executive officer and principal financial officer by others within those entities, such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings and other public disclosure documentseffective.

Appears in 8 contracts

Samples: Securities Purchase Agreement (CareDx, Inc.), Securities Purchase Agreement (CareDx, Inc.), Securities Purchase Agreement (Regado Biosciences Inc)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with required by Rule 13a-15 13a-15(e) or 15d-15 15d-15(e) under the Exchange Act Regulations applicable to it, and such Act. Such disclosure controls and procedures are effective have been designed to ensure that all material information concerning required to be disclosed by the Company will be made known is recorded, processed, summarized and reported on a timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings with the SEC and other public disclosure documents.

Appears in 8 contracts

Samples: Conversion Commitment Agreement (Global Geophysical Services Inc), Backstop Conversion Commitment Agreement (Global Geophysical Services Inc), Backstop Conversion Commitment Agreement

Disclosure Controls and Procedures. The Company has developed established and currently maintains disclosure controls and procedures that will comply with Rule 13a-15 or 15d-15 under the (as defined in Exchange Act Regulations applicable to it, Rules 13a-15 and such controls 15d-15) that are adequate and procedures are effective and designed to ensure that all material information concerning relating to the Company will be Company, including its consolidated subsidiaries, is made known on a timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings its chief executive officer and other public disclosure documentschief financial officer by others within those entities.

Appears in 7 contracts

Samples: Underwriting Agreement (Istar Inc.), Underwriting Agreement (Istar Inc.), Underwriting Agreement (Istar Inc.)

Disclosure Controls and Procedures. The Company has developed established and currently maintains disclosure controls and procedures that will comply with Rule 13a-15 or 15d-15 under the (as defined in Exchange Act Regulations applicable to it, Rules 13a-14 and such controls 15d-14) that are adequate and procedures are effective and designed to ensure that all material information concerning relating to the Company will be Company, including its consolidated subsidiaries, is made known on a timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings its chief executive officer and other public disclosure documentschief financial officer by others within those entities.

Appears in 7 contracts

Samples: Underwriting Agreement (Istar Inc.), Underwriting Agreement (Istar Financial Inc), Underwriting Agreement (Istar Financial Inc)

Disclosure Controls and Procedures. The Company has developed established and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or and 15d-15 under the Exchange Act Regulations applicable Act) that are designed to it, and such controls and procedures are effective to ensure provide reasonable assurance that all material information concerning relating to the Company, including its Subsidiaries, that is required to be disclosed by the Company will be made known on a timely basis in the reports that it furnishes or files under the Exchange Act is reported within the time periods specified in the rules and forms of the SEC and that such material information is communicated to the individuals responsible for the preparation of the Company’s Exchange Act filings and other public disclosure documentsmanagement to allow timely decisions regarding required disclosure.

Appears in 6 contracts

Samples: Subscription and Exchange Agreement (Comtech Telecommunications Corp /De/), Subscription Agreement (Luna Innovations Inc), Subscription Agreement (Comtech Telecommunications Corp /De/)

Disclosure Controls and Procedures. The Company has developed established and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or and 15d-15 under the Exchange Act Regulations applicable Act); such disclosure controls and procedures are designed to itensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company and the Adviser, and such disclosure controls and procedures are effective to ensure that all material information concerning perform the Company will be made known on a timely basis to the individuals responsible functions for the preparation of the Company’s Exchange Act filings and other public disclosure documentswhich they were established.

Appears in 5 contracts

Samples: Underwriting Agreement (Prospect Capital Corp), Underwriting Agreement (Prospect Capital Corp), Underwriting Agreement (Prospect Capital Corp)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures (within the meaning of Rules 13a-15(e) and 15d-15(e) promulgated under the Exchange Act) that will comply with Rule 13a-15 or 15d-15 are designed to provide reasonable assurance that information required to be disclosed in its reports under the Exchange Act Regulations applicable to itis recorded, processed, summarized and reported within the time periods specified in the SEC’s rules and forms, and that such controls information is accumulated and procedures are effective communicated to ensure that all material information concerning management of the Company will be made known on a as appropriate to allow timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings and other public disclosure documentsdecisions regarding required disclosure.

Appears in 5 contracts

Samples: Restructuring Support Agreement (Washington Prime Group, L.P.), Backstop Commitment Agreement (Hornbeck Offshore Services Inc /La), Backstop Commitment Agreement (Gulfmark Offshore Inc)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with Rule 13a-15 or 15d-15 under the Exchange Act Regulations applicable to it, and such controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings and other public disclosure documents.

Appears in 4 contracts

Samples: Underwriting Agreement (Impact Biomedical Inc.), Underwriting Agreement (Impact Biomedical Inc.), Underwriting Agreement (Bruush Oral Care Inc.)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 13a-15(e) under the Exchange Act Regulations applicable Act) that are designed to it, comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to provide reasonable assurance that material information required to be disclosed by the Company and its subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities; and such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings and other public disclosure documentseffective.

Appears in 4 contracts

Samples: Subscription Agreement (Oatly Group AB), Investment Agreement (Oatly Group AB), Subscription Agreement (Oatly Group AB)

Disclosure Controls and Procedures. The Company has developed and currently maintains an effective system of “disclosure controls and procedures that will comply with procedures” (as defined in Rule 13a-15 of the Exchange Act) that is designed to ensure that information required to be disclosed by the Company in reports that it files or 15d-15 submits under the Exchange Act Regulations applicable to itis recorded, processed, summarized and such reported within the time periods specified in the Commission’s rules and forms, including controls and procedures are effective designed to ensure that all material such information concerning the Company will be made known on a timely basis is accumulated and communicated to the individuals responsible for the preparation of the Company’s Exchange Act filings and other public disclosure documentsmanagement as appropriate to allow timely decisions regarding required disclosure.

Appears in 4 contracts

Samples: Underwriting Agreement (Navios Maritime Acquisition CORP), Underwriting Agreement (Trian Acquisition I Corp.), Underwriting Agreement (Trian Acquisition I Corp.)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 13a-15(e) under the Exchange Act Regulations applicable Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to it, ensure that material information relating to the Company and its subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities; and such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation as of the Company’s Exchange Act filings and other public disclosure documentsDecember 31, 2009.

Appears in 4 contracts

Samples: Selected Dealer Agreement (Hines Global REIT, Inc.), Dealer Agreement (Industrial Income Trust Inc.), Selected Dealer Agreement (Industrial Income Trust Inc.)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with procedures, as such term is defined in Rule 13a-15 or 15d-15 under of the Exchange Act Regulations applicable Act, that comply in all material respects with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to it, ensure that material information relating to the Company and its subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities; and such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings and other public disclosure documentseffective.

Appears in 3 contracts

Samples: Underwriting Agreement (Bard C R Inc /Nj/), Underwriting Agreement (Bard C R Inc /Nj/), Underwriting Agreement (Bard C R Inc /Nj/)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 13a-15(e) under the Exchange Act Regulations applicable Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to it, ensure that material information relating to the Company and its subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities; and such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation as of the Company’s Exchange Act filings and other public disclosure documentsSeptember 30, 2010.

Appears in 3 contracts

Samples: Dealer Agreement (CNL Properties Trust, Inc.), Dealer Agreement (KBS Real Estate Investment Trust III, Inc.), Dealer Agreement (KBS Real Estate Investment Trust III, Inc.)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 of the General Rules and Regulations under the Exchange Act Regulations applicable Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to itprovide reasonable assurance that information required to be disclosed by the Company and its Subsidiaries is accumulated and communicated to the Company’s management, including the Company’s principal executive officer and principal financial officer by others within those entities, and such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings and other public disclosure documentseffective.

Appears in 3 contracts

Samples: Secured Note and Common Stock Purchase Agreement (Stratos Renewables CORP), Convertible Note and Warrant Purchase Agreement (Stratos Renewables CORP), Note Purchase Facility Agreement (Stratos Renewables CORP)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures as such terms are defined in, and required by, Rule 13a-15(e) and 15d-15(e) under the Exchange Act. Such disclosure controls and procedures are reasonably designed to ensure that will comply with Rule 13a-15 or 15d-15 the information required to be disclosed by the Company in the reports that it submits under the Exchange Act Regulations applicable to it, is recorded and such controls and procedures are effective to ensure that all material information concerning the Company will be made known reported on a timely basis to the individuals responsible for the preparation of the Company’s filings with the SEC under the Exchange Act filings and other public disclosure documentsAct.

Appears in 2 contracts

Samples: Bond Purchase Agreement (Sprint Nextel Corp), Bond Purchase Agreement (Starburst II, Inc.)

Disclosure Controls and Procedures. The Company has developed and currently maintains its subsidiaries maintain a system of disclosure controls and procedures that will comply with Rule (as defined in Rules 13a-15 or and 15d-15 under of the Exchange Act Regulations applicable to itAct). To the Company’s knowledge, and such the Company’s disclosure controls and procedures are effective to ensure that all material information concerning required to be disclosed by the Company will be made known on a timely basis to in reports that it files or submits under the individuals responsible for the preparation of the Company’s Exchange Act filings is recorded, processed, summarized and other public disclosure documentsreported within the time periods specified in the SEC rules and forms.

Appears in 2 contracts

Samples: Common Stock Purchase Agreement (Ep Medsystems Inc), Common Stock Purchase Agreement (Ep Medsystems Inc)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 13a-15(e) under the Exchange Act) that are designed to comply with the requirements of the Exchange Act Regulations applicable to it, and such controls and procedures are effective designed to ensure that all material information concerning relating to the Company will be is made known on a timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings principal executive officer and other public disclosure documentsprincipal financial officer by others within the Company.

Appears in 2 contracts

Samples: Underwriting Agreement (Nanosphere Inc), Underwriting Agreement (Nanosphere Inc)

Disclosure Controls and Procedures. The Each of the Company and its subsidiaries has developed established and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 under the Exchange Act Regulations applicable to it, and Act); such disclosure controls and procedures are effective designed to ensure that all material information concerning required to be disclosed by the Company will be made known on a timely basis and each of its subsidiaries is accumulated and communicated to the individuals responsible for the preparation management of the Company’s Exchange Act filings Company and other public disclosure documentseach of its subsidiaries, including their respective principal executive officers and principal financial officers, as appropriate, to allow timely decisions regarding required disclosure.

Appears in 2 contracts

Samples: Purchase Agreement (Clearwire Corp), Purchase Agreement (Clearwire Corp)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will designed to comply with Rule 13a-15 or 15d-15 under the Exchange Act Regulations applicable to it, and as of the date of the most recent balance sheet included in the Registration Statement, the Pricing Disclosure Package and the Final Prospectus, such controls and procedures are were effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings and other public disclosure documents.

Appears in 2 contracts

Samples: Underwriting Agreement (Avenue Therapeutics, Inc.), Underwriting Agreement (Avenue Therapeutics, Inc.)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 13a-15(e) under the Exchange Act Regulations applicable Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to it, ensure that material information relating to the Company and its subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities; and such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation as of the Company’s Exchange Act filings and other public disclosure documentsDecember 31, 2012.

Appears in 2 contracts

Samples: Selected Dealer Agreement (KBS Legacy Partners Apartment REIT, Inc.), Dealer Agreement (Hines Global REIT, Inc.)

Disclosure Controls and Procedures. The Company has developed established and currently maintains disclosure controls and procedures that will comply with Rule (as such term is defined in Rules 13a-15 or and 15d-15 under the Exchange Act Regulations applicable to itAct), and such controls and procedures that are effective at the reasonable assurance level to ensure that all material information concerning perform the Company will be made known on a timely basis to the individuals responsible functions for the preparation of the Company’s Exchange Act filings and other public disclosure documentswhich they were established.

Appears in 2 contracts

Samples: Underwriting Agreement (Apollo Endosurgery, Inc.), Underwriting Agreement (Apollo Endosurgery, Inc.)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with required by Rule 13a-15 13a-15(e) or 15d-15 15d-15(e) under the Exchange Act Regulations applicable to it, and such Act. Such disclosure controls and procedures are effective have been designed to ensure that all material information concerning required to be disclosed by the Company will be made known is recorded, processed, summarized and reported on a timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings with the SEC and other public disclosure documents...

Appears in 2 contracts

Samples: Stock Purchase and Backstop Agreement (Kv Pharmaceutical Co /De/), Stock Purchase and Backstop Agreement (Deutsche Bank Ag\)

Disclosure Controls and Procedures. The Company has developed established and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or and 15d-15 under the Exchange Act Regulations applicable Act), that are designed to itensure that material information relating to the Company, including its subsidiaries, if any, is made known to the Company’s principal executive officer and its principal financial officer by others within those entities and such disclosure controls and procedures are effective to ensure that in all material information concerning respects to perform the Company will be made known on a timely basis to functions for which they were established except as disclosed in the individuals responsible for the preparation of the Company’s Exchange Act filings and other public disclosure documentsRegistration Statement or Prospectus.

Appears in 2 contracts

Samples: Equity Distribution Agreement (Hecla Mining Co/De/), Terms Agreement (Hecla Mining Co/De/)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) under the U.S. Exchange Act) that will comply with Rule 13a-15 or 15d-15 under the requirements of the U.S. Exchange Act Regulations applicable to it, and Act; such disclosure controls and procedures are effective have been designed to ensure that all material information concerning required to be disclosed by the Company will be made known on a timely basis in the reports that it files or submits under the U.S. Exchange Act is accumulated and communicated to the individuals responsible for the preparation of the Company’s Exchange Act filings management and other public such disclosure documentscontrols and procedures were effective as of December 31, 2008.

Appears in 2 contracts

Samples: Underwriting Agreement (Augusta Resource CORP), Underwriting Agreement (Augusta Resource CORP)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 13a-15(e) under the Exchange Act Regulations applicable Act) that are designed to it, and such comply with the requirements of the Exchange Act. Such disclosure controls and procedures are effective have been designed to ensure that all material information concerning relating to the Company will be is made known on a timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings principal executive officer and other public disclosure documentsprincipal financial officer by others within the Company.

Appears in 2 contracts

Samples: Cerevel Therapeutics Holdings, Inc., Cerevel Therapeutics Holdings, Inc.

Disclosure Controls and Procedures. The Company has developed implemented the “disclosure controls and currently maintains procedures” (as defined in Rules 13a-15(e) and 15d-15(e) of the Exchange Act) required in order for the Chief Executive Officer and Chief Financial Officer of the Company to engage in the review and evaluation process mandated by the Exchange Act, and is in compliance with such disclosure controls and procedures that will comply with Rule 13a-15 or 15d-15 under the Exchange Act Regulations applicable to it, and such controls and procedures are effective to ensure that in all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings and other public disclosure documentsrespects.

Appears in 2 contracts

Samples: Stock Purchase Agreement, Stock Purchase Agreement (Regeneron Pharmaceuticals Inc)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 13a-15(e) under the Exchange Act Regulations applicable Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to it, ensure that material information relating to the Company and its subsidiaries is made known to the Company's principal executive officer and principal financial officer by others within those entities; and such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation as of the Company’s Exchange Act filings and other public disclosure documentsSeptember 30, 2010.

Appears in 2 contracts

Samples: KBS Real Estate (KBS Real Estate Investment Trust III, Inc.), Selected Dealer Agreement (KBS Real Estate Investment Trust III, Inc.)

Disclosure Controls and Procedures. The Company has developed and currently maintains its subsidiaries maintain disclosure controls and procedures (as such term is defined in Rule 13a-15(e) of the Exchange Act) that will comply with Rule 13a-15 or 15d-15 under the requirements of the Exchange Act Regulations applicable to it, and such Act. Such disclosure controls and procedures are effective have been designed to ensure that all material information concerning relating to the Company will be made known on a timely basis and its subsidiaries is accumulated and communicated to the individuals responsible for the preparation of the Company’s Exchange Act filings management, including the Company’s principal executive officer and other public disclosure documentsprincipal financial officer, by others within those entities.

Appears in 2 contracts

Samples: Stock Purchase Agreement (GTC Biotherapeutics Inc), Note Purchase Agreement (GTC Biotherapeutics Inc)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 13a-15(e) under the Exchange Act Regulations applicable Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to it, ensure that material information relating to the Company and its subsidiaries is made known to the Company's principal executive officer and principal financial officer by others within those entities; and such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation as of the Company’s Exchange Act filings and other public disclosure documentsDecember 31, 2010.

Appears in 2 contracts

Samples: Dealer Agreement (KBS Legacy Partners Apartment REIT, Inc.), Dealer Agreement (KBS Legacy Partners Apartment REIT, Inc.)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 13a-15(e) under the Exchange Act Regulations applicable Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to it, ensure that material information relating to the Company and its subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities; and such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation as of the Company’s Exchange Act filings and other public disclosure documentsDecember 31, 2014.

Appears in 1 contract

Samples: Selected Dealer Agreement (Griffin Capital Essential Asset REIT II, Inc.)

Disclosure Controls and Procedures. The Company has developed established and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or and 15d-15 under the Exchange Act Regulations applicable Act); such disclosure controls and procedures are designed to itensure that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company's principal executive officer and its principal financial officer by others within those entities, and such disclosure controls and procedures are effective to ensure that all material information concerning perform the Company will be made known on a timely basis to the individuals responsible functions for the preparation of the Company’s Exchange Act filings and other public disclosure documentswhich they were established.

Appears in 1 contract

Samples: Underwriting Agreement (Western Wireless Corp)

Disclosure Controls and Procedures. The Company has developed established and currently maintains disclosure controls and procedures that will comply with Rule (as defined in Rules 13a-15 or and 15d-15 under the Exchange Act Regulations applicable to itAct), and such controls and procedures which are effective designed to ensure that all material information concerning relating to the Company will be Company, including its consolidated subsidiaries, is made known on a timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings principal executive officer and other public disclosure documentsits principal financial officer by others within those entities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Minerva Neurosciences, Inc.)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 13a-15(e) under the Exchange Act Regulations applicable Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to it, ensure that material information relating to the Company and its subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities; and such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation as of the Company’s Exchange Act filings and other public disclosure documentsDecember 31, 2011.

Appears in 1 contract

Samples: Selected Dealer Agreement (Industrial Income Trust Inc.)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 13a-15(e) under the Exchange Act Regulations applicable Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to it, ensure that material information relating to the Company and its Subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities; and such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation as of the Company’s Exchange Act filings and other public disclosure documentsSeptember 30, 2014.

Appears in 1 contract

Samples: Dealer Agreement (CNL Healthcare Properties, Inc.)

Disclosure Controls and Procedures. The Company has developed established and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or and 15d-15 under the Exchange Act Regulations applicable Act) that are designed to it, and such controls and procedures are effective to ensure provide reasonable assurance that all material information concerning relating to the Company, including its Subsidiaries, that is required to be disclosed by the Company will be made known on a timely basis in the reports that it files under the Exchange Act is reported within the time periods specified in the rules and forms of the SEC and that such material information is communicated to the individuals responsible for the preparation of the Company’s Exchange Act filings and other public disclosure documentsmanagement to allow timely decisions regarding required disclosure.

Appears in 1 contract

Samples: Subscription Agreement (Charlotte's Web Holdings, Inc.)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 of the General Rules and Regulations under the Exchange Act) that comply with the requirements of the Exchange Act Regulations as applicable to it, the Company; and such disclosure controls and procedures are effective have been designed to ensure that all material information concerning required to be disclosed by the Company will be made known on a timely basis and its Subsidiaries is accumulated and communicated to the individuals responsible for the preparation of the Company’s Exchange Act filings management, including the Company’s principal executive officer and other public disclosure documentsprincipal financial officer by others within those entities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Alimera Sciences Inc)

Disclosure Controls and Procedures. The Company has developed and currently maintains will maintain disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 13a-15(e) under the Exchange Act Regulations applicable to it, and Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures are effective have been designed to ensure that all material information concerning relating to the Company will be and its subsidiaries is made known on a timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings principal executive officer and other public principal financial officer by others within those entities; and such disclosure documentscontrols and procedures will be effective beginning with the quarterly period ending September 30, 2014.

Appears in 1 contract

Samples: Dealer Agreement (Hines Global Reit Ii, Inc.)

Disclosure Controls and Procedures. The Company has developed established and currently maintains disclosure controls and procedures that will comply with Rule 13a-15 or 15d-15 under the (as defined in Securities Exchange Act Regulations applicable to it, Rules 13a-15(e) and such controls and procedures 15d-15(e)) that are effective in all material respects to ensure that all material information concerning relating to the Company will be Company, including any consolidated Subsidiaries, is made known on a timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings its chief executive officer and other public disclosure documentschief financial officer by others within those entities.

Appears in 1 contract

Samples: Stock Purchase Agreement (SGX Pharmaceuticals, Inc.)

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Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 13a-15(e) under the Exchange Act Regulations applicable Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to it, ensure that material information relating to the Company and its subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities; and such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation as of the Company’s Exchange Act filings and other public disclosure documentsSeptember 30, 2013.

Appears in 1 contract

Samples: Dealer Agreement (Industrial Property Trust Inc.)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 13a-15(e) under the Exchange Act Regulations applicable Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to it, ensure that material information relating to the Company and its subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities; and such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation as of the Company’s Exchange Act filings and other public disclosure documentsDecember 31, 2008.

Appears in 1 contract

Samples: Selected Dealer Agreement (Behringer Harvard Multifamily Reit I Inc)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 13a-15(e) under the Exchange Act Regulations applicable to it, Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures include controls and procedures designed to ensure that material information relating to the Company and its subsidiaries is made known to the Company’s management (including its principal executive officer and principal financial officer) by others within those entities; and such disclosure controls and procedures are effective to ensure that all material information concerning at the Company will be made known on a timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings and other public disclosure documentsreasonable assurance level.

Appears in 1 contract

Samples: Ross Stores, Inc.

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such is defined in Rule 13a-15 or 15d-15 under the Exchange Act Regulations applicable Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to itensure that information required to be disclosed by the Company and its subsidiaries is accumulated and communicated to the Company’s management, including the Company’s principal executive officer and principal financial officer by others within those entities, such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings and other public disclosure documentseffective.

Appears in 1 contract

Samples: Underwriting Agreement (Sucampo Pharmaceuticals, Inc.)

Disclosure Controls and Procedures. The Company has developed established and currently maintains disclosure controls and procedures that will comply with Rule 13a-15 required by Rules 13a-15(e) or 15d-15 under 15d-15(e) of the Exchange Act Regulations applicable to it, and such controls and procedures that are effective designed to ensure that all material information concerning relating to the Company will and its Subsidiaries required to be made known on a timely basis disclosed by the Company in the reports that it files or submits under the Exchange Act (i) is recorded, processed, summarized and reported within the time periods specified in the SEC’s rules and forms and (ii) is accumulated and communicated to the individuals responsible for the preparation of the Company’s Exchange Act filings and other public disclosure documentsmanagement as appropriate to allow timely decisions regarding required disclosure.

Appears in 1 contract

Samples: Agreement and Plan of Merger (Physicians Formula Holdings, Inc.)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 13a-15(e) under the Exchange Act Regulations applicable Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to it, ensure that material information relating to the Company and its Subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities; and such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation as of the Company’s Exchange Act filings and other public disclosure documentsDecember 31, 2010.

Appears in 1 contract

Samples: Dealer Agreement (CNL Growth Properties, Inc.)

Disclosure Controls and Procedures. The Company has developed established and currently maintains disclosure controls and procedures that will comply with (as such terms are defined in Rule 13a-15 under the Exchange Act), which are reasonably designed to ensure that information required to be disclosed by the Company in the Company SEC Reports that it files or 15d-15 submits under the Exchange Act Regulations applicable to itis recorded, processed, summarized and such controls reported, within the time periods specified in the SEC’s rules and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings and other public disclosure documentsforms.

Appears in 1 contract

Samples: Agreement and Plan of Merger (Ligand Pharmaceuticals Inc)

Disclosure Controls and Procedures. The Company has developed established and currently maintains disclosure controls and procedures that will comply with (as defined in Rule 13a-15 or 15d-15 under the Exchange Act Regulations applicable to it, and such Act). Such disclosure controls and procedures are effective designed to ensure that all material information concerning relating to the Company will be and its Subsidiaries is made known on a timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings principal executive officer and other public disclosure documentsits principal financial officer by others within those entities.

Appears in 1 contract

Samples: Agreement and Plan of Merger (Applied Imaging Corp)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 13a-15(e) under the Exchange Act Regulations applicable Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to it, ensure that material information relating to the Company and its subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities; and such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation as of the Company’s Exchange Act filings and other public disclosure documentsJune 30, 2016.

Appears in 1 contract

Samples: Dealer Agreement (Resource Apartment REIT III, Inc.)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 of the General Rules and Regulations under the Exchange Act Regulations applicable to it, and Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures are effective have been designed to ensure that all material information concerning required to be disclosed by the Company will be made known on a timely basis is accumulated and communicated to the individuals responsible for the preparation of the Company’s Exchange Act filings management, including the Company’s principal executive officer and other public disclosure documentsprincipal financial officer by others within those entities, as appropriate, to allow timely decisions regarding required disclosure.

Appears in 1 contract

Samples: Securities Purchase Agreement (MAKO Surgical Corp.)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 13a-15(e) under the Exchange Act Regulations applicable Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to it, ensure that material information relating to the Company and its subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities; and such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation as of the Company’s Exchange Act filings and other public disclosure documentsMarch 31, 2008.

Appears in 1 contract

Samples: Selected Dealer Agreement (Hines Real Estate Investment Trust Inc)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 13a-15(e) under the Exchange Act Regulations applicable Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to it, ensure that material information relating to the Company and its subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities; and such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation as of the Company’s Exchange Act filings and other public disclosure documentsJune 30, 2017.

Appears in 1 contract

Samples: Selected Dealer Agreement (BLACK CREEK INDUSTRIAL REIT IV Inc.)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 13a-15(e) under the Exchange Act Regulations applicable Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to it, ensure that material information relating to the Company and its subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities; and such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation as of the Company’s Exchange Act filings and other public disclosure documentsJune 30, 2019.

Appears in 1 contract

Samples: Selected Dealer Agreement (BLACK CREEK INDUSTRIAL REIT IV Inc.)

Disclosure Controls and Procedures. The Company has developed established and currently maintains disclosure controls and procedures that will comply with Rule (as such term is defined in Rules 13a-15 or and 15d-15 under the Exchange Act Regulations applicable to it, and Act); such disclosure controls and procedures are effective designed to ensure that all material information concerning relating to the Company will be and its subsidiaries is made known on a timely basis to the individuals responsible for the preparation chief executive officer and chief financial officer of the Company’s Exchange Act filings Company by others within the Company or any of its subsidiaries. As of September 30, 2021, the disclosure controls and other public disclosure documentsprocedures were effective.

Appears in 1 contract

Samples: Asbury Automotive Group Inc

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 of the General Rules and Regulations under the Exchange Act Regulations applicable Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to itensure that information required to be disclosed by the Company and its Material Subsidiaries is accumulated and communicated to the Company’s management, including the Company’s principal executive officer and principal financial officer by others within those entities, such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings and other public disclosure documentseffective.

Appears in 1 contract

Samples: Share Purchase Agreement (Neophotonics Corp)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 13a-15(e) under the Exchange Act Regulations applicable Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to it, ensure that material information relating to the Company and its subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities; and such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation as of the Company’s Exchange Act filings and other public disclosure documentsJune 30, 2018.

Appears in 1 contract

Samples: Selected Dealer Agreement (Hines Global Income Trust, Inc.)

Disclosure Controls and Procedures. The Company has developed established and currently maintains disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)), which are designed to ensure that will comply with Rule 13a-15 or 15d-15 material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and its principal financial officer by others within those entities, particularly during the periods in which the periodic reports required under the Exchange Act Regulations applicable to it, and such controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings and other public disclosure documentsprepared.

Appears in 1 contract

Samples: Underwriting Agreement (Addus HomeCare Corp)

Disclosure Controls and Procedures. The Company has developed established and currently maintains disclosure controls and procedures that will comply with Rule (as defined in Rules 13a-15 or and 15d-15 under the Exchange Act Regulations applicable to itAct), and such controls and procedures which (i) are effective designed to ensure that all material information concerning relating to the Company will be Company, including its consolidated subsidiaries, is made known on a timely basis to the individuals responsible for the preparation of the Company’s principal executive officer and its principal financial officer by others within those entities, particularly during the periods in which the periodic reports required under the Exchange Act filings are being prepared; and other public disclosure documents(ii) are effective in all material respects to perform the functions for which they were established.

Appears in 1 contract

Samples: Underwriting Agreement (Parnell Pharmaceuticals Holdings Pty LTD)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 13a-15(e) under the Exchange Act Regulations applicable Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to it, ensure that material information relating to the Company and its subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities; and such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation as of the Company’s Exchange Act filings and other public disclosure documentsAugust 31, 2007.

Appears in 1 contract

Samples: Selected Dealer Agreement (Behringer Harvard Opportunity REIT II, Inc.)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 13a-15(e) under the Exchange Act) that have been designed to comply with the requirements of the Exchange Act Regulations applicable to it, the Company; such disclosure controls and procedures have been designed to ensure that material information relating to the Company and its subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities; and such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings and other public disclosure documentseffective.

Appears in 1 contract

Samples: Common Stock Purchase Agreement (Aurora Innovation, Inc.)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 13a-15(e) under the Exchange Act Regulations applicable Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to it, ensure that material information relating to the Company and its subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities; and such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation as of the Company’s Exchange Act filings and other public disclosure documentsDecember 31, 2013.

Appears in 1 contract

Samples: Selected Dealer Agreement (NorthStar Real Estate Income II, Inc.)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with required by Rule 13a-15 or 15d-15 under the Exchange Act Regulations applicable to it, and such Act. Such controls and procedures are effective to ensure that all material information concerning the Company will be and its Subsidiaries is made known on a timely basis to the individuals responsible for the preparation of the Company’s Exchange Act filings with the SEC and other public disclosure documents. As used in this Section 4.5, the term “file” shall be broadly construed to include any manner in which a document or information is furnished, supplied otherwise made available to the SEC.

Appears in 1 contract

Samples: Agreement and Plan of Merger (Velocity Express Corp)

Disclosure Controls and Procedures. The Company has developed and currently maintains its subsidiaries maintain a system of disclosure controls and procedures that will comply with Rule (as defined in Rules 13a-15 or and 15d-15 under of the Exchange Act Regulations applicable to itAct) . To the Company's best knowledge, and such the Company's disclosure controls and procedures are effective to ensure that all material information concerning required to be disclosed by the Company will be made known on a timely basis to in reports that it files or submits under the individuals responsible for the preparation of the Company’s Exchange Act filings is recorded, processed, summarized and other public disclosure documentsreported within the time periods specified in the SEC rules and forms.

Appears in 1 contract

Samples: Common Stock Purchase Agreement (Ep Medsystems Inc)

Disclosure Controls and Procedures. The Company has developed and currently maintains disclosure controls and procedures that will comply with (as such term is defined in Rule 13a-15 or 15d-15 13a-15(e) under the Exchange Act Regulations applicable Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to it, ensure that material information relating to the Company and its subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities; and such disclosure controls and procedures are effective to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for the preparation as of the Company’s Exchange Act filings and other public disclosure documentsDecember 31, 2018.

Appears in 1 contract

Samples: Dealer Agreement (Nuveen Global Cities REIT, Inc.)

Disclosure Controls and Procedures. The Company has developed established and currently maintains disclosure controls and procedures that will comply with Rule 13a-15 or 15d-15 applicable to it under the Exchange Act Regulations applicable Rules 13a-15(e) and 15a-15(e). The statements relating to it, and such disclosure controls and procedures are effective to ensure that all material information concerning made by the principal executive officers (or their equivalents) and principal financial officers (or their equivalents) of the Company will be made known on a timely basis to in the individuals responsible for certifications required by the preparation Xxxxxxxx-Xxxxx Act of 2002 and the Company’s Exchange Act filings rules and other public disclosure documentsregulations promulgated in connection therewith are complete and correct.

Appears in 1 contract

Samples: Agreement and Any Terms Agreement (SFL Corp Ltd.)

Disclosure Controls and Procedures. The Company has developed established and currently maintains disclosure controls and procedures that will comply with Rule (as such term is defined in Rules 13a-15 or and 15d-15 under the Exchange Act Regulations applicable to it, and Act); such disclosure controls and procedures are effective designed to ensure that all material information concerning required to be disclosed by the Company will and its subsidiaries in the reports to be filed or furnished under the Exchange Act is made known on a timely basis to the individuals responsible for the preparation chief executive officer and chief financial officer of the Company’s Exchange Act filings , and other public such disclosure documentscontrols and procedures are reasonably effective to perform the functions for which they were established subject to the limitations of any such control system.

Appears in 1 contract

Samples: Purchase Agreement (Dream Finders Homes, Inc.)

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