Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 474 contracts

Samples: Securities Purchase Agreement (Unrivaled Brands, Inc.), Securities Purchase Agreement (PhoneBrasil International Inc), Securities Purchase Agreement (Endexx Corp)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 162 contracts

Samples: Securities Purchase Agreement (Chron Organization, Inc.), Securities Purchase Agreement (Endonovo Therapeutics, Inc.), Securities Purchase Agreement (Ambient Water Corp)

Listing and Maintenance Requirements. The Company's Common Stock is registered pursuant to Section ~~12(b) or~~ 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 105 contracts

Samples: Securities Purchase Agreement (Raser Technologies Inc), Securities Purchase Agreement (Cyberkinetics Neurotechnology Systems, Inc.), Securities Purchase Agreement (Isonics Corp)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section ~~12(b) or~~ 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 102 contracts

Samples: Securities Purchase Agreement (Barfresh Food Group Inc.), Securities Purchase Agreement (Barfresh Food Group Inc.), Securities Purchase Agreement (Barfresh Food Group Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the ~~Commission~~ SEC is contemplating terminating such registration. The Company has not, in the 12 twelve (12) months preceding the date hereof, received notice from ~~any Trading~~ the Principal Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such ~~Trading~~ Principal Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 70 contracts

Samples: Equity Purchase Agreement (Safe & Green Development Corp), Equity Purchase Agreement (Axim Biotechnologies, Inc.), Equity Purchase Agreement (Kona Gold Beverage, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 twelve (12) months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 43 contracts

Samples: Redeemable Convertible Preferred Stock and Warrant Purchase (Telesis Bio Inc.), Securities Purchase Agreement (Unrivaled Brands, Inc.), Securities Purchase Agreement (Hwn, Inc.)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed toto terminate, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the ~~Commission~~ SEC is contemplating terminating such registration. The Company has not, in the 12 twelve (12) months preceding the date hereof, received notice from any ~~Trading~~ Primary Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such ~~Trading~~ Primary Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 32 contracts

Samples: Securities Purchase Agreement (Westport Energy Holdings Inc.), Securities Purchase Agreement (Intellicell Biosciences, Inc.), Securities Purchase Agreement (Unicorp Inc /New)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b~~) or 12(g~~) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock ~~under~~ pursuant to the Exchange Act nor has the Company received any notification that the ~~Commission~~ SEC is currently contemplating terminating such registration. ~~The~~ Except as disclosed in the SEC Documents, the Company has not, in the 12 twelve (12) months preceding the date hereof, received any notice from any ~~Trading Market on which the Common Stock is or has been listed or quoted~~ Person to the effect that the Company is not in compliance with the listing or maintenance requirements of ~~such Trading~~ the Principal Market. ~~The~~ Except as disclosed in the SEC Documents, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 28 contracts

Samples: Purchase Agreement Purchase Agreement (Plus Therapeutics, Inc.), Purchase Agreement (Leet Technology Inc.), Purchase Agreement Purchase Agreement (Ocuphire Pharma, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market~~. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements~~.

Appears in 28 contracts

Samples: Securities Purchase Agreement (Aqua Metals, Inc.), Securities Purchase Agreement (RespireRx Pharmaceuticals Inc.), Securities Purchase Agreement (Atomera Inc)

Listing and Maintenance Requirements. The Company's Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 28 contracts

Samples: Securities Purchase Agreement (Pura Naturals, Inc.), Securities Purchase Agreement (Cool Technologies, Inc.), Securities Purchase Agreement (Leo Motors, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section ~~12(b) or~~ 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 27 contracts

Samples: Underwriting Agreement (Cachet Financial Solutions, Inc.), Underwriting Agreement (Cachet Financial Solutions, Inc.), Underwriting Agreement (Viveve Medical, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock ~~under~~ pursuant to the Exchange Act nor has the Company received any notification that the ~~Commission~~ SEC is currently contemplating terminating such registration. The Company has not, in the 12 twelve (12) months preceding the date hereof, received any notice from any ~~Trading Market on which the Common Stock is or has been listed or quoted~~ Person to the effect that the Company is not in compliance with the listing or maintenance requirements of ~~such Trading~~ the Principal Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 26 contracts

Samples: Purchase Agreement (Galaxy Next Generation, Inc.), Purchase Agreement (Item 9 Labs Corp.), Purchase Agreement (One World Products, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. ~~The~~ Except as set forth in the SEC Reports, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. ~~The~~ Except as set forth in the SEC Reports, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 25 contracts

Samples: Unit Purchase Agreement (Summit Wireless Technologies, Inc.), Securities Purchase Agreement (PetVivo Holdings, Inc.), Securities Purchase Agreement (DraftDay Fantasy Sports, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. ~~The~~ Except as may be disclosed in the SEC Reports, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 23 contracts

Samples: Loan Agreement (Luxurban Hotels Inc.), Securities Purchase Agreement (Corphousing Group Inc.), Note Purchase Agreement (Netcapital Inc.)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b~~) or 12(g~~) of the Exchange Act, and the Company has taken no action designed ~~to, or which~~ to ~~its knowledge is likely to have the effect of, terminating~~ terminate the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is ~~or has been~~ listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance in all material respects with ~~all such~~ the listing and maintenance ~~requirements~~requirements for continued trading of the Common Stock on the Principal Trading Market.

Appears in 20 contracts

Samples: Securities Purchase Agreement (Ameris Bancorp), Securities Purchase Agreement (Vantagesouth Bancshares, Inc.), Securities Purchase Agreement (Newbridge Bancorp)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange ~~Act~~ Act, nor has the Company received any notification that the ~~Commission~~ SEC is contemplating terminating such registration. The Company has not, in the 12 twelve (12) months preceding the ~~date hereof~~Execution Date, received notice from ~~any Trading~~ the Principal Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such ~~Trading~~ Principal Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 19 contracts

Samples: Equity Purchase Agreement (King Resources, Inc.), Equity Purchase Agreement (Bonanza Goldfields Corp.), Equity Purchase Agreement (Cosmos Group Holdings Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. ~~The~~ Except as set forth in the SEC Reports, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 17 contracts

Samples: Securities Purchase Agreement (GeoVax Labs, Inc.), Securities Purchase Agreement (Celsion CORP), Common Stock Purchase Agreement (Dataram Corp)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section ~~12(b) or 12(g)~~ 12 of the Exchange Act, and ~~the~~ Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has ~~the~~ Company received any notification that the Commission is contemplating terminating such registration. ~~The~~ Company has not, in the 12 months preceding the ~~date hereof~~Effective Date, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that ~~the~~ Company is not in compliance with the listing or maintenance requirements of such Trading Market. ~~The~~ Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 17 contracts

Samples: Stock Purchase Agreement (Beyond Commerce, Inc.), Stock Purchase Agreement (Camber Energy, Inc.), Stock Purchase Agreement (Beyond Commerce, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section ~~12(b) or 12(g)~~ 12 of the Exchange Act, and ~~the~~ Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has ~~the~~ Company received any notification that the Commission is contemplating terminating such registration. ~~The~~ Except as disclosed in the Public Reports, Company has not, in the 12 months preceding the ~~date hereof~~Effective Date, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that ~~the~~ Company is not in compliance with the listing or maintenance requirements of such Trading Market. ~~The~~ Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 16 contracts

Samples: Securities Purchase Agreement (Ascent Solar Technologies, Inc.), Securities Purchase Agreement (Ascent Solar Technologies, Inc.), Securities Purchase Agreement (Ascent Solar Technologies, Inc.)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its ~~knowledge~~ Knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange ~~Act~~ Act, nor has the Company received any notification that the ~~Commission~~ SEC is contemplating terminating such registration. The Company has not, in the 12 months preceding the ~~date hereof~~Commitment Closing Date, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company currently is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 16 contracts

Samples: Investment Agreement (Li3 Energy, Inc.), Investment Agreement (Blue Sphere Corp.), Investment Agreement (Dynamic Ventures Corp.)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed toto terminate, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the ~~Commission~~ SEC is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from ~~any Trading~~ the Primary Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such ~~Trading~~ Primary Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 16 contracts

Samples: Securities Purchase Agreement (Samsara Luggage, Inc.), Securities Purchase Agreement (Samsara Luggage, Inc.), Securities Purchase Agreement (Samsara Luggage, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the ~~Commission~~ SEC is contemplating terminating such registration. The Company has not, in the 12 twelve (12) months preceding the date hereof, received notice from ~~any Trading~~ the Principal Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such ~~Trading~~ Principal Market. The Company ~~is,~~ is and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 16 contracts

Samples: Common Stock Purchase Agreement (United Health Products, Inc.), Equity Purchase Agreement (RespireRx Pharmaceuticals Inc.), Equity Purchase Agreement (Success Entertainment Group International Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section ~~12(b) or 12(g)~~ 12 of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the ~~Commission~~ SEC is contemplating terminating such registration. The Company has not, in the 12 months preceding the ~~date hereof~~Effective Date, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 14 contracts

Samples: Preferred Stock Purchase Agreement (Revonergy Inc), Preferred Stock Purchase Agreement (Entech Solar, Inc.), Preferred Stock Purchase Agreement (Purespectrum, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section ~~12(b) or~~ 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock ~~under~~ pursuant to the Exchange Act nor has the Company received any notification that the ~~Commission~~ SEC is currently contemplating terminating such registration. The Company has not, in the 12 twelve (12) months preceding the date hereof, received any notice from any ~~Trading Market on which the Common Stock is or has been listed or quoted~~ Person to the effect that the Company is not in compliance with the listing or maintenance requirements of ~~such Trading~~ the Principal Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 13 contracts

Samples: Subscription Agreement, Common Stock Purchase Agreement (XOMA Corp), Common Stock Purchase Agreement (Rezolute, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b~~) or 12(g~~) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock ~~under~~ pursuant to the Exchange Act nor has the Company received any notification that the ~~Commission~~ SEC is currently contemplating terminating such registration. ~~The~~ Except as disclosed in the SEC Documents, the Company has not, in the 12 twelve (12) months preceding the date hereof, received any notice from any ~~Trading Market on which the Common Stock is or has been listed or quoted~~ Person to the effect that the Company is not in compliance with the listing or maintenance requirements of ~~such Trading~~ the Principal Market. ~~The Company is, and has no reason to believe that it will not~~ Except as disclosed in the ~~foreseeable future continue to be~~SEC Documents, the Company is in compliance with all such listing and maintenance requirements.

Appears in 12 contracts

Samples: Purchase Agreement (eFFECTOR Therapeutics, Inc.), Purchase Agreement (Moleculin Biotech, Inc.), Purchase Agreement (BioCardia, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock ~~under~~ pursuant to the Exchange Act nor has the Company received any notification that the ~~Commission~~ SEC is currently contemplating terminating such registration. ~~The~~ Except as set forth on Schedule 4(e): (i) the Company has not, in the 12 twelve (12) months preceding the date hereof, received any notice from any ~~Trading Market on which the Common Stock is or has been listed or quoted~~ Person to the effect that the Company is not in compliance with the listing or maintenance requirements of ~~such Trading~~ the Principal Market~~. The~~ ; and (ii) the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 12 contracts

Samples: Purchase Agreement (Elite Pharmaceuticals Inc /Nv/), Purchase Agreement (Westmountain Gold, Inc.), Purchase Agreement (International Stem Cell CORP)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the ~~Commission~~ SEC is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any ~~Trading Market~~ trading market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such ~~Trading Market~~trading market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 12 contracts

Samples: Subscription Agreement (Protea Biosciences Group, Inc.), Subscription Agreement (Protea Biosciences Group, Inc.), Subscription Agreement (Protea Biosciences Group, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b~~) or 12(g~~) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock ~~under~~ pursuant to the Exchange Act nor has the Company received any notification that the ~~Commission~~ SEC is currently contemplating terminating such registration. ~~The~~ Except as disclosed in the SEC Documents, the Company has not, in the 12 twelve (12) months preceding the date hereof, received any notice from any ~~Trading Market on which the Common Stock is or has been listed or quoted~~ Person to the effect that the Company is not in compliance with the listing or maintenance requirements of ~~such Trading~~ the Principal Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements. The Principal Market has not commenced any delisting proceedings against the Company.

Appears in 12 contracts

Samples: Purchase Agreement (Lightning eMotors, Inc.), Purchase Agreement (Tonix Pharmaceuticals Holding Corp.), Purchase Agreement (Kintara Therapeutics, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b~~) or 12(g~~) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 11 contracts

Samples: Underwriting Agreement (Uranium Energy Corp), Underwriting Agreement (Uranium Energy Corp), Underwriting Agreement (Uranium Energy Corp)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b~~) or 12(g~~) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 11 contracts

Samples: Securities Purchase Agreement (Viragen Inc), Securities Purchase Agreement (Silverstar Holdings LTD), Securities Purchase Agreement (Access Integrated Technologies Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. ~~The~~ Except as set forth on Schedule 3.1(v), the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. ~~The~~ Except as set forth on Schedule 3.1(v), the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 10 contracts

Samples: Securities Purchase Agreement (Senesco Technologies Inc), Securities Purchase Agreement (Oxygen Biotherapeutics, Inc.), Securities Purchase Agreement (Oxygen Biotherapeutics, Inc.)

Appears in 10 contracts

Samples: Stock Purchase Agreement (Camber Energy, Inc.), Security Agreement (Camber Energy, Inc.), Purchase Agreement (Generex Biotechnology Corp)

Listing and Maintenance Requirements. The Company's Common Stock is registered pursuant to Section 12(b~~) or 12(g~~) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 10 contracts

Samples: Securities Purchase Agreement (Uqm Technologies Inc), Securities Purchase Agreement (Matritech Inc/De/), Securities Purchase Agreement (Riviera Tool Co)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section ~~12(b) or 12(g)~~ 12 of the Exchange Act, and ~~the~~ Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has ~~the~~ Company received any notification that the Commission is contemplating terminating such registration. ~~The~~ Company has not, in the 12 months preceding the ~~date hereof~~Execution Date, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that ~~the~~ Company is not in compliance with the listing or maintenance requirements of such Trading Market. ~~The~~ Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 10 contracts

Samples: Stock Purchase Agreement (POSITIVEID Corp), Stock Purchase Agreement (Pressure Biosciences Inc), Preferred Stock Purchase Agreement (POSITIVEID Corp)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance in all material respects with all such listing and maintenance requirements.

Appears in 10 contracts

Samples: Supplemental Agreement (Dataram Corp), Selling Agency Agreement (INNOVATION ECONOMY Corp), Securities Purchase Agreement (Bioanalytical Systems Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. ~~The~~ Except as set forth in the SEC Reports, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. ~~The Company is, and has no reason to believe that it will not~~ Except as set forth in the ~~foreseeable future continue to be~~SEC Reports, the Company is in compliance with all such listing and maintenance requirements.

Appears in 9 contracts

Samples: Securities Purchase Agreement (Precipio, Inc.), Securities Purchase Agreement (Alliance MMA, Inc.), Securities Purchase Agreement (Alliance MMA, Inc.)

Listing and Maintenance Requirements. The ~~Common Stock~~ Company is ~~registered~~ required to file periodic reports pursuant to Section ~~12(b) or 12(g~~15(d) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 8 contracts

Samples: Securities Purchase Agreement (Car Charging Group, Inc.), Securities Purchase Agreement (Car Charging Group, Inc.), Securities Purchase Agreement (Car Charging Group, Inc.)

Listing and Maintenance Requirements. The Company's Common Stock is registered pursuant to Section ~~12(b) or~~ 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any ~~Trading~~ Principal Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such ~~Trading~~ Principal Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 8 contracts

Samples: Securities Purchase Agreement (Sento Corp), Registration Rights Agreement (Bulldog Technologies Inc), Securities Purchase Agreement (Innovative Companies Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the ~~date hereof~~Effective Date, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 8 contracts

Samples: Securities Purchase Agreement (Catasys, Inc.), Securities Purchase Agreement (Catasys, Inc.), Securities Purchase Agreement (Catasys, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section ~~12(b) or 12(g)~~ 12 of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 7 contracts

Samples: Securities Purchase Agreement (Fuel Performance Solutions, Inc.), Securities Purchase Agreement (Fuel Performance Solutions, Inc.), Securities Purchase Agreement (Sionix Corp)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b~~) or 12(g~~) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market~~. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements~~.

Appears in 7 contracts

Samples: Securities Purchase Agreement, Securities Purchase and Exchange Agreement (Inovio Biomedical Corp), Securities Purchase Agreement (Genta Inc De/)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company ~~is, and has no reason to believe that it will not in the foreseeable future continue to be,~~ is in compliance with all such listing and maintenance requirements.

Appears in 7 contracts

Samples: Securities Purchase Agreement (NeuroMetrix, Inc.), Securities Purchase Agreement (NeuroMetrix, Inc.), Form of Securities Purchase Agreement (Bellerophon Therapeutics, Inc.)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed ~~to, or which~~ to ~~its knowledge is likely to have the effect of, terminating~~ terminate the registration of the Common Stock under the Exchange ~~Act~~ Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is ~~or has been~~ listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to ~~be,~~ be in compliance with all ~~such~~ listing and maintenance ~~requirements~~requirements of the Principal Trading Market on the date hereof.

Appears in 7 contracts

Samples: Securities Purchase Agreement (Transgenomic Inc), Securities Purchase Agreement (Transgenomic Inc), Securities Purchase Agreement (Transgenomic Inc)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section ~~12(b) or 12(g~~15(d) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 6 contracts

Samples: Securities Purchase Agreement (Xenomics Inc), Securities Purchase Agreement (Technoconcepts, Inc.), Securities Purchase Agreement (Sequiam Corp)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. ~~The~~ Except as set forth in the SEC Reports, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. ~~The~~ Except as set forth in the SEC Reports, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in material compliance with all such listing and maintenance requirements.

Appears in 6 contracts

Samples: Securities Purchase Agreement (CombiMatrix Corp), Securities Purchase Agreement (CombiMatrix Corp), Securities Purchase Agreement (Mill City Ventures III, LTD)

Appears in 6 contracts

Samples: Securities Purchase Agreement (Ambient Corp /Ny), Securities Purchase Agreement (Ambient Corp /Ny), Securities Purchase Agreement (Ambient Corp /Ny)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or ~~which~~ that to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. ~~The~~ Except as set forth in the SEC Reports, the Company has not, in the 12 months preceding the ~~date hereof~~Effective Date, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. ~~The Company is, and has no reason to believe that it will not~~ Except as disclosed in the ~~foreseeable future continue to be~~SEC Reports, the Company is in compliance with all such listing and maintenance requirements.

Appears in 6 contracts

Samples: Subscription Agreement (ARCA Biopharma, Inc.), Subscription Agreement (MusclePharm Corp), Form of Subscription Agreement (MusclePharm Corp)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b~~) or 12(g~~) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock ~~under~~ pursuant to the Exchange Act nor has the Company received any notification that the ~~Commission~~ SEC is currently contemplating terminating such registration. The Company has not, in the 12 twelve (12) months preceding the date hereof, received any notice from any ~~Trading Market on which the Common Stock is or has been listed or quoted~~ Person to the effect that the Company is not in compliance with the listing or maintenance requirements of ~~such Trading~~ the Principal Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 6 contracts

Samples: Purchase Agreement (iBio, Inc.), Purchase Agreement (xG TECHNOLOGY, INC.), Purchase Agreement (xG TECHNOLOGY, INC.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. ~~The~~ Except as disclosed in the SEC Reports, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. ~~The~~ Except as disclosed in the SEC Reports, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 6 contracts

Samples: Securities Purchase Agreement (Jones Soda Co), Securities Purchase Agreement (New Generation Biofuels Holdings, Inc), Securities Purchase Agreement (New Generation Biofuels Holdings, Inc)

Listing and Maintenance Requirements. The Company's Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed toto terminate, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the ~~Commission~~ SEC is contemplating terminating such registration. The Company has not, in the 12 twelve (12) months preceding the date hereof, received notice from any ~~Trading~~ Primary Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such ~~Trading~~ Primary Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 6 contracts

Samples: Securities Purchase Agreement (Locateplus Holdings Corp), Exchange Agreement (Seaway Valley Capital Corp), Securities Purchase Agreement (Greenshift Corp)

Listing and Maintenance Requirements. (i) The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration~~. The~~ , (ii) the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading ~~Market. The~~ Market and (iii) the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 6 contracts

Samples: Securities Purchase Agreement (Comstock Inc.), Securities Purchase Agreement (Stemtech Corp), Securities Purchase Agreement (Todos Medical Ltd.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section ~~12(b) or~~ 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock ~~under~~ pursuant to the Exchange Act nor has the Company received any notification that the ~~Commission~~ SEC is currently contemplating terminating such registration. ~~The~~ Except as disclosed in the SEC Documents, the Company has not, in the 12 twelve (12) months preceding the date hereof, received any notice from any ~~Trading Market on which the Common Stock is or has been listed or quoted~~ Person to the effect that the Company is not in compliance with the listing or maintenance requirements of ~~such Trading~~ the Principal Market. ~~The~~ Except as disclosed in the SEC Documents, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 6 contracts

Samples: Purchase Agreement (Elite Pharmaceuticals Inc /Nv/), Purchase Agreement (Alpine 4 Technologies Ltd.), Purchase Agreement (Humanigen, Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section ~~12(b) or 12(g)~~ 12 of the Exchange Act, and ~~the~~ Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has ~~the~~ Company received any notification that the Commission is contemplating terminating such registration. ~~The~~ Except as disclosed on Schedule III.B.17, Company has not, in the 12 months preceding the ~~date hereof~~Effective Date, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that ~~the~~ Company is not in compliance with the listing or maintenance requirements of such Trading Market. ~~The~~ Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 6 contracts

Samples: Stock Purchase Agreement (Camber Energy, Inc.), Stock Purchase Agreement (Camber Energy, Inc.), Stock Purchase Agreement (Camber Energy, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b~~) or 12(g~~) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the ~~12 months~~ three years preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 6 contracts

Samples: Securities Purchase Agreement (ChromaDex Corp.), Securities Purchase Agreement (ChromaDex Corp.), Securities Purchase Agreement (ChromaDex Corp.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the ~~Commission~~ SEC is contemplating terminating such registration. The Company has not, in the ~~12 months~~ one (1) year preceding the date hereof, received notice from any ~~Trading Market~~ trading market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such ~~Trading Market~~trading market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 5 contracts

Samples: Subscription Agreement (GlyEco, Inc.), Subscription Agreement (Wynnefield Partners Small Cap Value Lp I), Subscription Agreement (Wynnefield Partners Small Cap Value Lp I)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any “Trading ~~Market~~ Market” (as defined in the Purchase Agreement (as defined in Section 5(j) below)) on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 5 contracts

Samples: Placement Agency Agreement (Biolife Solutions Inc), Escrow Deposit Agreement (Biolife Solutions Inc), Placement Agency Agreement (Biolife Solutions Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section ~~12(b) or~~ 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the ~~Commission~~ SEC is contemplating terminating such registration. The Company has not, in the 12 months preceding the ~~date hereof~~Effective Date, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 5 contracts

Samples: Preferred Stock Purchase Agreement (International Stem Cell CORP), Preferred Stock Purchase Agreement (International Stem Cell CORP), Preferred Stock Purchase Agreement (International Stem Cell CORP)

Listing and Maintenance Requirements. The shares of Common Stock is are registered pursuant to Section ~~12(b) or~~ 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to ~~its~~ the knowledge of the Company is likely to have the effect of, terminating the registration of the shares of Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 twelve (12) months preceding the date hereof, received notice from any Trading Market on which the shares of Common Stock is are or ~~has~~ have been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company ~~is,~~ is and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 5 contracts

Samples: Securities Purchase Agreement (Capstone Technologies Group Inc.), Securities Purchase Agreement (Unique Logistics International Inc), Registration Rights Agreement (Bergio International, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section ~~12(b) or 12(g)~~ 12 of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the ~~Commission~~ SEC is contemplating terminating such registration. ~~The~~ Except as disclosed in the SEC Reports, the Company has not, in the 12 months preceding the ~~date hereof~~Effective Date, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. ~~The~~ Except as disclosed in the SEC Reports, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 5 contracts

Samples: Convertible Preferred Stock Purchase Agreement (POSITIVEID Corp), Preferred Stock Purchase Agreement (POSITIVEID Corp), Stock Purchase Agreement (POSITIVEID Corp)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the ~~Commission~~ SEC is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any ~~Trading Market~~ trading market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such ~~Trading Market~~trading market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in material compliance with all such listing and maintenance requirements.

Appears in 5 contracts

Samples: Securities Purchase Agreement (Alliqua, Inc.), Securities Purchase Agreement (China Health Resource, Inc.), Securities Purchase Agreement (Alliqua, Inc.)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b~~) or 12(g~~) of the Exchange Act, and the Company has taken no action designed ~~to, or which~~ to ~~its knowledge is likely to have the effect of, terminating~~ terminate the registration of the Common Stock under the Exchange Act nor has the Company received any written notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is ~~or has been~~ listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance in all material respects with ~~all such~~ the listing and maintenance ~~requirements~~requirements for continued trading of the Common Stock on the Principal Trading Market.

Appears in 5 contracts

Samples: Securities Purchase Agreement (First Bancshares Inc /MS/), Securities Purchase Agreement (Southern First Bancshares Inc), Securities Purchase Agreement (First Bancshares Inc /MS/)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or ~~12(g~~12 (g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market, except such as has been cured. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 5 contracts

Samples: Underwriting Agreement (Mandalay Digital Group, Inc.), Underwriting Agreement (Superconductor Technologies Inc), Underwriting Agreement (Superconductor Technologies Inc)

Listing and Maintenance Requirements. The Common ~~Stock is~~ Shares are registered pursuant to Section ~~12(b) or~~ 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is reasonably likely to have the effect of, terminating the registration of the Common ~~Stock~~ Shares under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. ~~The~~ Except as disclosed in the SEC Reports, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common ~~Stock~~ Shares is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 5 contracts

Samples: Security Agreement (Response Biomedical Corp), Security Agreement (Response Biomedical Corp), Subscription Agreement (Response Biomedical Corp)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. ~~The~~ Except as set forth on Schedule 3.1(w), the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 5 contracts

Samples: Securities Purchase Agreement (HII Technologies, Inc.), Securities Purchase Agreement (UFood Restaurant Group, Inc.), Securities Purchase Agreement (UFood Restaurant Group, Inc.)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to ~~its knowledge~~ the Company’s Knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange ~~Act~~ Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. ~~The~~ Except as disclosed in the SEC Reports, the Company has not, in the 12 10 months preceding the ~~date hereof~~Closing Date, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. ~~The~~ As of the Closing Date, the Company ~~is, and has no reason to believe that it will not in the foreseeable future continue to be,~~ is in compliance with all such listing and maintenance requirements.

Appears in 5 contracts

Samples: Securities Purchase Agreement (Medicinova Inc), Securities Purchase Agreement (American Standard Energy Corp.), Securities Purchase Agreement (Augme Technologies, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the ~~Exchange~~ 1934 Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the ~~Exchange~~ 1934 Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any ~~Trading Market~~ trading market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 5 contracts

Samples: Securities Purchase Agreement (Ab International Group Corp.), Securities Purchase Agreement (Ab International Group Corp.), Securities Purchase Agreement (Ab International Group Corp.)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section ~~12(b) or~~ 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company ~~is, and has no reason to believe that it will not in the foreseeable future continue to be,~~ is in compliance with all such listing and maintenance requirements.

Appears in 5 contracts

Samples: Securities Purchase Agreement (Wave Systems Corp), Securities Purchase Agreement (Wave Systems Corp), Securities Purchase Agreement (Novavax Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed toto terminate, or ~~which~~ that, to its ~~knowledge~~ knowledge, is likely to have the effect ofof terminating, ~~terminating~~ the registration of the Common Stock under the Exchange ~~Act~~ Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 5 contracts

Samples: Securities Purchase Agreement (SANUWAVE Health, Inc.), Securities Purchase Agreement (SANUWAVE Health, Inc.), Securities Purchase Agreement (SANUWAVE Health, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the ~~Commission~~ SEC is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any ~~Trading~~ OTC Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 5 contracts

Samples: Subscription Agreement (Orbital Tracking Corp.), Subscription Agreement (Orbital Tracking Corp.), Subscription Agreement (Orbital Tracking Corp.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section ~~12(b) or~~ 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to ~~its knowledge~~ the Knowledge of the Company is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market (if any) on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such applicable listing and maintenance requirements.

Appears in 5 contracts

Samples: Form of Securities Purchase Agreement (Integrity Applications, Inc.), Securities Purchase Agreement (Integrity Applications, Inc.), Form of Securities Purchase Agreement (Integrity Applications, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section ~~12(b) or 12(g)~~ 12 of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the ~~Commission~~ SEC is contemplating terminating such registration. The Company has not, in the 12 months preceding the ~~date hereof~~Effective Date, received notice from any ~~Trading Market~~ trading market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such ~~Trading Market~~trading market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 5 contracts

Samples: Series H Preferred Stock Purchase Agreement (Entech Solar, Inc.), Series I Preferred Stock Purchase Agreement (Entech Solar, Inc.), Series H Preferred Stock Purchase Agreement (Entech Solar, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section ~~12(b) or~~ 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock ~~under~~ pursuant to the Exchange Act nor has the Company received any notification that the ~~Commission~~ SEC is currently contemplating terminating such registration. The Company has not, in the 12 twelve (12) months preceding the date hereof, received any notice from any ~~Trading Market on which the Common Stock is or has been listed or quoted~~ Person to the effect that the Company is not in compliance with the listing or maintenance requirements of ~~such Trading~~ the Principal Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements. The Principal Market has not commenced any delisting proceedings against the Company.

Appears in 5 contracts

Samples: Purchase Agreement (Biolargo, Inc.), Purchase Agreement (Amesite Inc.), Purchase Agreement (American Bio Medica Corp)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b~~) or 12(g~~) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the ~~Commission~~ SEC is contemplating terminating such registration. The Company has not, in the ~~12 months~~ two years preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements. The issuance and sale of the Shares hereunder does not contravene the rules and regulations of the Trading Market.

Appears in 4 contracts

Samples: Investment Agreement (Spectrum Pharmaceuticals Inc), Investment Agreement (Spectrum Pharmaceuticals Inc), Investment Agreement (CASI Pharmaceuticals, Inc.)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. ~~The~~ Except as set forth on Schedule 3.1(w), the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 4 contracts

Samples: Securities Purchase Agreement (Innovative Software Technologies Inc), Securities Purchase Agreement (Cash Technologies Inc), Securities Purchase Agreement (Msgi Security Solutions, Inc)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. ~~The~~ Except as disclosed in the SEC Reports, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 4 contracts

Samples: Securities Purchase Agreement (Neurobiological Technologies Inc /Ca/), Hyperdynamics Corp, Hyperdynamics Corp

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in material compliance with all such listing and maintenance requirements.

Appears in 4 contracts

Samples: Securities Purchase Agreement (China Integrated Energy, Inc.), Securities Purchase Agreement (China Integrated Energy, Inc.), Securities Purchase Agreement (China XD Plastics Co LTD)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section ~~12(b) or~~ 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Common Stock is listed on the OTC Bulletin Board and the Company has not, in the 12 months preceding the date hereof, received notice from ~~any Trading Market on which~~ the ~~Common Stock is or has been listed or quoted~~ OTC Bulletin Board to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 4 contracts

Samples: Securities Purchase Agreement (Solomon Technologies Inc), Securities Purchase Agreement (Solomon Technologies Inc), Securities Purchase Agreement (Solomon Technologies Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock ~~under~~ pursuant to the Exchange Act nor has the Company received any notification that the Commission is currently contemplating terminating such registration. ~~The~~ Except as disclosed in the SEC Reports, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. ~~The~~ Except as disclosed in the SEC Reports, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 4 contracts

Samples: Securities Purchase Agreement (Cell Therapeutics Inc), Securities Purchase Agreement (Cell Therapeutics Inc), Securities Purchase Agreement (Cell Therapeutics Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section ~~12(b) or 12(g)~~ 12 of the Exchange Act, and ~~the~~ Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has ~~the~~ Company received any notification that the Commission is contemplating terminating such registration. ~~The~~ Company has not, in the 12 months preceding the ~~date hereof~~Closing, received notice from ~~any~~ the Trading Market on which the Common Stock is ~~or has been~~ listed or quoted to the effect that ~~the~~ Company is not in compliance with the listing or maintenance requirements of such Trading Market, except in connection with notices which relate to compliance issues which have since been cured. ~~The~~ Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with ~~all such~~ the listing and maintenance ~~requirements~~requirements of the Trading Market.

Appears in 4 contracts

Samples: Agreement (Camber Energy, Inc.), Exchange Agreement (Camber Energy, Inc.), Exchange Agreement (Camber Energy, Inc.)

Listing and Maintenance Requirements. ~~The~~ Notis’ Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and ~~the Company~~ Notis has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has ~~the Company~~ Notis received any notification that the Commission is contemplating terminating such registration. ~~The Company~~ Notis has not, in the 12 twelve (12) months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. ~~The Company~~ Notis is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 4 contracts

Samples: Convertible Note Purchase Agreement (Notis Global, Inc.), Convertible Note Purchase Agreement (Notis Global, Inc.), Convertible Note Purchase Agreement (Notis Global, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b~~) or 12(g~~) of the Exchange Act, and the Company has taken no action designed to, or which to its actual knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the material listing or maintenance requirements of such Trading Market. The Company is, and ~~has no reason to believe~~ currently believes that it will ~~not~~ in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 4 contracts

Samples: Securities Purchase Agreement (Spectrum Pharmaceuticals Inc), Securities Purchase Agreement (Spectrum Pharmaceuticals Inc), Securities Purchase Agreement (Spectrum Pharmaceuticals Inc)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b~~) or 12(g~~) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange ~~Act~~ Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date ~~hereof~~hereof or any Closing Date, received notice from any Trading Market on which the Common Stock is or has been listed or quoted (as applicable) to the effect that the Company is not in compliance with the listing or quotation (as applicable) and maintenance requirements of such Trading Market. The Company is, and ~~has no reason to believe that it~~ immediately after the consummation of the transactions contemplated hereby will ~~not in the foreseeable future continue to~~ be, in compliance with all such listing or quotation (as applicable) and maintenance requirements.

Appears in 4 contracts

Samples: Common Stock Purchase Agreement (Stemcells Inc), Common Stock Purchase Agreement (Mannkind Corp), Common Stock Purchase Agreement (Stemcells Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b~~) or 12(g~~) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market, except such as has been cured. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 4 contracts

Samples: Underwriting Agreement (CombiMatrix Corp), Underwriting Agreement (CombiMatrix Corp), Underwriting Agreement (CombiMatrix Corp)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. ~~The~~ Except as set forth on Schedule 2.23, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 4 contracts

Samples: Securities Purchase Agreement (As Seen on TV, Inc.), Securities Purchase Agreement (As Seen on TV, Inc.), Securities Purchase Agreement (As Seen on TV, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from the OTC Market Group’s OTC: Pink electronic quotation system (the “Trading Market”) or any ~~Trading Market~~ other trading market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market, if any. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with ~~all~~ any such listing and maintenance requirements.

Appears in 4 contracts

Samples: Placement Agency Agreement (Z Trim Holdings, Inc), Placement Agency Agreement (Z Trim Holdings, Inc), Placement Agency Agreement (Z Trim Holdings, Inc)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section ~~12(b) or~~ 12(g) of the Exchange Act, and the Company has taken no action designed ~~to, or which~~ to ~~its knowledge is likely to have the effect of, terminating~~ terminate the registration of the Common Stock under the Exchange Act nor has the Company received any written notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is ~~or has been~~ listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance in all material respects with ~~all such~~ the listing and maintenance ~~requirements~~requirements for continued trading of the Common Stock on the Principal Trading Market.

Appears in 4 contracts

Samples: Stock Purchase Agreement (HCSB Financial Corp), Stock Purchase Agreement (RMB Capital Management, LLC), Stock Purchase Agreement (Bank of the Carolinas CORP)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its actual knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 4 contracts

Samples: Spectrum Pharmaceuticals Inc, Spectrum Pharmaceuticals Inc, Spectrum Pharmaceuticals Inc

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. ~~The~~ Except as set forth in Schedule 3.V, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. ~~The~~ Except as set forth in the SEC Reports, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 4 contracts

Samples: Biosante Pharmaceuticals Inc, Biosante Pharmaceuticals Inc, Biosante Pharmaceuticals Inc

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b~~) or 12(g~~) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock ~~under~~ pursuant to the Exchange Act nor has the Company received any notification that the ~~Commission~~ SEC is currently contemplating terminating such registration. ~~The~~ Except as disclosed in the SEC Documents, the Company has not, in the 12 twelve (12) months immediately preceding the date hereof, received any notice from any ~~Trading Market on which the Common Stock is or has been listed or quoted~~ Person to the effect that the Company is not in compliance with the listing or maintenance requirements of ~~such Trading~~ the Principal Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements. The Principal Market has not commenced any delisting proceedings against the Company.

Appears in 4 contracts

Samples: Purchase Agreement (Netlist Inc), Purchase Agreement (Netlist Inc), Purchase Agreement (Netlist Inc)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b~~) or 12(g~~) of the Exchange Act, and the Company has taken no action designed ~~to, or which~~ to ~~its knowledge is likely to have the effect of, terminating~~ terminate the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received written notice from ~~any~~ the Principal Trading Market ~~on which the Common Stock is or has been listed or quoted~~ to the effect that the Company is not in compliance with the listing or maintenance requirements of ~~such~~ the Principal Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance in all material respects with ~~all such~~ the listing and maintenance ~~requirements~~requirements for continued trading of the Common Stock on the Principal Trading Market.

Appears in 4 contracts

Samples: Securities Purchase Agreement (Codorus Valley Bancorp Inc), Share Purchase Agreement (Saratoga Resources Inc /Tx), Securities Purchase Agreement (Fidelity Southern Corp)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b~~) or 12(g~~) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and ~~has no reason to believe that it~~ immediately after the consummation of the transactions contemplated hereby will ~~not in the foreseeable future continue to~~ be, in compliance with all such listing and maintenance requirements.

Appears in 4 contracts

Samples: Common Stock Purchase Agreement (Novadel Pharma Inc), Securities Purchase Agreement (Neuralstem, Inc.), Common Stock Purchase Agreement (Beacon Power Corp)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section ~~12(b) or~~ 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company ~~is, and has no reason to believe that it will not in the foreseeable future continue to be,~~ is in compliance with all such listing and maintenance requirements.

Appears in 4 contracts

Samples: Securities Purchase Agreement (Regenerx Biopharmaceuticals Inc), Securities Purchase Agreement (Genaera Corp), Securities Purchase Agreement (Genaera Corp)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange ~~Act~~ Act, nor has the Company received any notification that the ~~Commission~~ SEC is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received any notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 4 contracts

Samples: Secured Convertible Note Purchase Agreement (Ebix Inc), Convertible Note Purchase Agreement (Ebix Inc), Secured Convertible Note Purchase Agreement (Ebix Inc)

Listing and Maintenance Requirements. ~~The~~ Except as set forth in the SEC Reports, the Common Stock is registered pursuant to Section ~~12(b) or 12(g)~~ 12 of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange ~~Act~~ Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the ~~date hereof~~Effective Date, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Hythiam, Inc.), Securities Purchase Agreement (Hythiam Inc), Securities Purchase Agreement (Hythiam Inc)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section ~~12(b) or~~ 12(g) of the Exchange Act, and the Company has taken no action designed ~~to, or which~~ to ~~its knowledge is likely to have the effect of, terminating~~ terminate the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. ~~The~~ Except as specified in the SEC Reports, the Company has not, in the ~~12 months~~ two years preceding the date hereof, received written notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance in all material respects with ~~all such~~ the listing and maintenance ~~requirements~~requirements for continued trading of the Common Stock on the Principal Trading Market.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Mathstar Inc), Securities Purchase Agreement (Regenerx Biopharmaceuticals Inc), Securities Purchase Agreement (Sonic Innovations Inc)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its ~~knowledge~~ Knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange ~~Act~~ Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. ~~The~~ Except as disclosed in the Commission Documents, the Company has not, in the 12 months preceding the ~~date hereof~~Closing Date, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. ~~The~~ As of the Closing Date, the Company ~~is, and has no reason to believe that it will not in the foreseeable future continue to be,~~ is in compliance with all such listing and maintenance requirements.

Appears in 3 contracts

Samples: Common Stock Purchase Agreement (Omeros Corp), Common Stock Purchase Agreement (Oncothyreon Inc.), Common Stock Purchase Agreement (Emcore Corp)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b~~) or 12(g~~) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange ~~Act~~ Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date ~~hereof~~hereof or the Closing Date, received notice from any Trading Market on which the Common Stock is or has been listed or quoted (as applicable) to the effect that the Company is not in compliance with the listing or quotation (as applicable) and maintenance requirements of such Trading Market. The Company is, and ~~has no reason to believe that it~~ immediately after the consummation of the transactions contemplated hereby will ~~not in the foreseeable future continue to~~ be, in compliance with all such listing or quotation (as applicable) and maintenance requirements.

Appears in 3 contracts

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

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section ~~12(b) or~~ 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is ~~or has been~~ listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Saflink Corp), Securities Purchase Agreement (Clinical Data Inc), Securities Purchase Agreement (Clinical Data Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or ~~which~~ that to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company ~~is, and has no reason to believe that it will not in the foreseeable future continue to be,~~ is in compliance with all such listing and maintenance requirements.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Pharmathene, Inc), Securities Purchase Agreement (Pharmathene, Inc), Securities Purchase Agreement (Pharmathene, Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the ~~Commission~~ SEC is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 3 contracts

Samples: Unit Purchase Agreement (Medovex Corp.), Unit Purchase Agreement (Medovex Corp.), Unit Purchase Agreement (Protea Biosciences Group, Inc.)

Common use of Listing and Maintenance Requirements Clause in Contracts