Common use of Insiders’ NASD Affiliation Clause in Contracts

Insiders’ NASD Affiliation. Based on the Questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member.

Appears in 3 contracts

Samples: Underwriting Agreement (Shine Media Acquisition Corp.), Underwriting Agreement (Shine Media Acquisition Corp.), Underwriting Agreement (Shine Media Acquisition Corp.)

AutoNDA by SimpleDocs

Insiders’ NASD Affiliation. Based on the Questionnaires distributed to such persons, except Except as set forth on Schedule 2.18.42.17.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member.

Appears in 3 contracts

Samples: Underwriting Agreement (Advanced Technology Acquisition Corp.), Underwriting Agreement (Advanced Technology Acquisition Corp.), Underwriting Agreement (Apex Bioventures Acquisition Corp)

Insiders’ NASD Affiliation. Based on the Questionnaires distributed to such persons, except Except as set forth on Schedule 2.18.42.19.4, no officer, officer or director of the Company or owner of any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Underwriters and the NASD if any stockholder of the Company becomes, directly or indirectly, an affiliate or associated person of an NASD member participating in the offering.

Appears in 2 contracts

Samples: Underwriting Agreement (Augment Systems Inc), Underwriting Agreement (Augment Systems Inc)

Insiders’ NASD Affiliation. Based on the Questionnaires distributed to such persons, except Except as set forth on Schedule 2.18.4SCHEDULE 2.19, no officer, officer or director of the Company or owner of any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and the NASD if any officer, director or stockholder of the Company becomes, directly or indirectly, an affiliate or associated person of an NASD member participating in the offering.

Appears in 2 contracts

Samples: Underwriting Agreement (Delicious Brands Inc), Underwriting Agreement (Delicious Brands Inc)

Insiders’ NASD Affiliation. Based on the Questionnaires distributed to such persons, except Except as set forth on Schedule 2.18.42.19.4, no officer, officer or director of the Company or owner of any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Underwriters and the NASD if prior to the Closing Date or Option Closing Date, if any, it learns that any officer, director or stockholder of the Company is or becomes an affiliate or associated person of an NASD member participating in the offering.

Appears in 1 contract

Samples: Underwriting Agreement (AeroGrow International, Inc.)

Insiders’ NASD Affiliation. Based on the Questionnaires distributed to such persons, except as set forth on Schedule 2.18.42.17.4, no officer, director or any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member.

Appears in 1 contract

Samples: North American Insurance Leaders, Inc.

Insiders’ NASD Affiliation. Based on No officer or director of the Questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director Company or owner of any beneficial owner of the Company’s unregistered 's securities has any direct or indirect affiliation or association with any NASD member, except as provided on Schedule 2.19.4 attached hereto. The Company covenants that it will advise the Corporate Financing Department of the NASD if any 5% or greater stockholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution of the securities which are the subject of the Registration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Havana Group Inc)

Insiders’ NASD Affiliation. Based on the Questionnaires distributed to such persons, except Except as set forth on Schedule SCHEDULE 2.18.4, no officer, officer or director of the Company or owner of any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Underwriters and the NASD if any officer, director or stockholder of the Company is or becomes an affiliate or associated person of an NASD member participating in the offering.

Appears in 1 contract

Samples: Underwriting Agreement (Objective Communications Inc)

AutoNDA by SimpleDocs

Insiders’ NASD Affiliation. Based on the Questionnaires response provided to the questionnaires distributed to such persons, except as set forth on Schedule 2.18.42.17.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member.

Appears in 1 contract

Samples: Underwriting Agreement (Global Logistics Acquisition CORP)

Insiders’ NASD Affiliation. Based on the Questionnaires distributed to such persons, except Except as set forth on Schedule 2.18.4, no officer, officer or director of the Company or owner of any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Underwriters and the NASD if any officer, director or stockholder of the Company is or becomes an affiliate or associated person of an NASD member participating in the offering.

Appears in 1 contract

Samples: Underwriting Agreement (Shochet Holding Corp)

Insiders’ NASD Affiliation. Based on the Questionnaires distributed to such persons, except Except as set forth on Schedule 2.18.42.19.4, no officer, officer or director of the Company or owner of any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and the NASD if prior to the Closing Date or Option Closing Date, if any, it learns that any officer, director or stockholder of the Company is or becomes an affiliate or associated person of an NASD member participating in the offering.

Appears in 1 contract

Samples: Underwriting Agreement (American Telecom Services Inc)

Insiders’ NASD Affiliation. Based on the Questionnaires responses provided to the questionnaires distributed to such persons, except as set forth on Schedule 2.18.42.17.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member.

Appears in 1 contract

Samples: Underwriting Agreement (Global Logistics Acquisition CORP)

Time is Money Join Law Insider Premium to draft better contracts faster.