Common use of Listing and Maintenance Requirements Clause in Contracts

Listing and Maintenance Requirements. The shares of Common Stock 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 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. Except as set forth in the Registration Statement, the General Disclosure Package and the Prospectus, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock are or 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 shares of Common Stock are currently eligible for electronic transfer through The Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 24 contracts

Samples: Securities Purchase Agreement (ZyVersa Therapeutics, Inc.), Securities Purchase Agreement (Nxu, Inc.), Securities Purchase Agreement (Nxu, Inc.)

AutoNDA by SimpleDocs

Listing and Maintenance Requirements. The shares of Common Stock 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 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. Except as set forth in the Registration Statement, the General Disclosure Package and the Prospectus, the The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market the Exchange on which the shares of Common Stock are or have been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading MarketExchange. 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 shares of Common Stock are currently eligible for electronic transfer through The Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 15 contracts

Samples: Underwriting Agreement (CNS Pharmaceuticals, Inc.), Underwriting Agreement (CNS Pharmaceuticals, Inc.), Underwriting Agreement (CNS Pharmaceuticals, Inc.)

Listing and Maintenance Requirements. The shares of Common Stock are 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. Except as set forth in the Registration Statement, the General Disclosure Package and the Prospectus, the The Company has not, not in the 12 months preceding the date hereof, hereof received notice from any Trading Market on which the Common Stock are is or have 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 shares of 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 Common Stock are is currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 10 contracts

Samples: Underwriting Agreement (SeqLL, Inc.), Underwriting Agreement (Elate Group, Inc.), Underwriting Agreement (Elate Group, Inc.)

Listing and Maintenance Requirements. The shares of Common Stock are 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. Except as set forth in the Registration Statement, the General Disclosure Package and the Prospectuson 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 are is or have 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 shares of 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 Common Stock are is currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 9 contracts

Samples: Securities Purchase Agreement (Cineverse Corp.), Securities Purchase Agreement (Cinedigm Corp.), Securities Purchase Agreement (Nymox Pharmaceutical Corp)

Listing and Maintenance Requirements. The shares Company is subject to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the Commission; the Common Stock are is registered pursuant to with the Commission under Section 12(b) or 12(g) of the Exchange Act, Act and the Company has taken no action designed to, is not in breach of any filing or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock other requirements under the Exchange Act nor Act. The Company has the Company not received any notification notice from that the Commission is contemplating terminating such registration. Except as set forth in the SEC Reports, the Registration Statement, the General Disclosure Package Preliminary Prospectus and the Prospectus, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock are or 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 shares of Common Stock are is currently eligible for electronic transfer through The Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 4 contracts

Samples: Securities Purchase Agreement (Safe & Green Holdings Corp.), Securities Purchase Agreement (Vaccinex, Inc.), Securities Purchase Agreement (Vaccinex, Inc.)

Listing and Maintenance Requirements. The shares Company is subject to the reporting requirements of Common Stock Section 13 of the Exchange Act and files periodic reports with the Commission; the Securities are registered pursuant to with the Commission under Section 12(b) or 12(g) of the Exchange Act, Act and the Company has taken no action designed to, is not in breach of any filing or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock other requirements under the Exchange Act nor Act. The Company has the Company not received any notification notice from that the Commission is contemplating terminating such registration. Except as set forth in the SEC Reports, the Registration Statement, the General Disclosure Package Preliminary Prospectus and the Prospectus, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock are or 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 shares of Common Stock are is currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 4 contracts

Samples: Securities Purchase Agreement (Motus GI Holdings, Inc.), Securities Purchase Agreement (Athersys, Inc / New), Securities Purchase Agreement (Athersys, Inc / New)

Listing and Maintenance Requirements. The shares of Common Stock are 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. Except as set forth on Schedule 3.1(x) or disclosed in the Registration Statement, the General Disclosure Package and the ProspectusCompany’s SEC filings, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock are is or have 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 shares of Common Stock are is currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 4 contracts

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

Listing and Maintenance Requirements. The shares of Common Stock 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 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. Except as set forth in the Registration Statement, the General Disclosure Package Package, the Prospectus and the ProspectusSchedule 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 are or 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 shares of Common Stock are currently eligible for electronic transfer through The Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 4 contracts

Samples: Securities Purchase Agreement (Allarity Therapeutics, Inc.), Securities Purchase Agreement (Allarity Therapeutics, Inc.), Securities Purchase Agreement (Allarity Therapeutics, Inc.)

Listing and Maintenance Requirements. The shares of Common Stock are 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. Except Other than as set forth disclosed in the Registration Statement, the General Disclosure Package and the ProspectusCompany’s 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 are is or have 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 shares of 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, except as could not have or reasonably be expected to result in a Material Adverse Effect. The Common Stock are is currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 3 contracts

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

Listing and Maintenance Requirements. The shares of Common Stock are 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. Except as set forth in the Registration Statement, the General Disclosure Package and the Prospectus, the The Company has not, not in the 12 months preceding the date hereof, hereof received notice from any Trading Market on which the Common Stock are is or have 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 shares of 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 Common Stock are is currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer. The issuance and sale of the Shares hereunder does not contravene the rules and regulations of the Trading Market.

Appears in 3 contracts

Samples: Securities Purchase Agreement (ZW Data Action Technologies Inc.), Securities Purchase Agreement (ZW Data Action Technologies Inc.), Securities Purchase Agreement (ChinaNet Online Holdings, Inc.)

Listing and Maintenance Requirements. The shares of Common Stock are 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 currently contemplating terminating such registration. Except as set forth previously disclosed in the Registration Statement, Company’s filings with the General Disclosure Package and Commission or in discussions with the ProspectusPlacement Agent, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock are is or have 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 shares of Common Stock are is currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Oculus Innovative Sciences, Inc.), Form of Securities Purchase Agreement (Oculus Innovative Sciences, Inc.)

Listing and Maintenance Requirements. The shares of Common Stock 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 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. Except as set forth in the Registration Statement, the General Disclosure Package and the Prospectus, 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 are or 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 shares of Common Stock are currently eligible for electronic transfer through The Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 2 contracts

Samples: Securities Purchase Agreement (ZyVersa Therapeutics, Inc.), Securities Purchase Agreement (ZyVersa Therapeutics, Inc.)

Listing and Maintenance Requirements. The shares of Common Stock 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 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, except as described in the Preliminary Prospectus and the Prospectus. Except as set forth in the Registration Statement, the General Disclosure Package and the Prospectuson 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 are is or have 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 shares of Common Stock are is currently eligible for electronic transfer through The Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Banzai International, Inc.), Securities Purchase Agreement (Banzai International, Inc.)

Listing and Maintenance Requirements. The shares of Common Stock are is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and other than its not filing certain required Quarterly and Annual Reports as indicated in Section 3(i) above, 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. Except as set forth in the Registration Statement, the General Disclosure Package and the Prospectus, the The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock are is or have 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 shares of Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all currently applicable listing and maintenance requirements. The Common Stock are is currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 2 contracts

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

Listing and Maintenance Requirements. The shares of Common Stock 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 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. Except as set forth in the Registration Statement, the General Disclosure Package and the Prospectus, the The Company has not, in the 12 months preceding the date hereofat any time since January 16, 2020, received notice from any Trading Market on which the Common Stock are Shares is or have 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 shares of Company is, and at all times since January 16, 2020 has been, 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 Common Stock Shares are currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Securities Purchase Agreement (Trillium Therapeutics Inc.)

Listing and Maintenance Requirements. The shares of Common Stock are 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. Except as set forth in the Registration StatementSEC Reports (including the Company Current Reports on Form 8-K filed on August 31, the General Disclosure Package 2022 and the ProspectusNovember 25, 2022), the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock are is or have 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 shares of Common Stock are is currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Securities Purchase Agreement (CONTRAFECT Corp)

Listing and Maintenance Requirements. The shares of Common Stock 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 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. Except as set forth in the Registration Statement, the General Disclosure Package and the Prospectus, the The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market the Exchange on which the shares of Common Stock are or have been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading MarketExchange. 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 shares of Common Stock are currently eligible for electronic transfer through The Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer. [Reserved].

Appears in 1 contract

Samples: Underwriting Agreement (AIM ImmunoTech Inc.)

Listing and Maintenance Requirements. The shares of Common Stock 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 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. Except as set forth disclosed in the Registration Statement, the General Disclosure Package Prospectus and the ProspectusProspectus Supplement, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock Shares are or 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 shares of Common Stock Shares are currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer. The issuance and sale of the Securities hereunder does not contravene the rules and regulations of the Trading Market.

Appears in 1 contract

Samples: Securities Purchase Agreement (COPsync, Inc.)

Listing and Maintenance Requirements. The shares of Common Stock 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 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. Except as set forth disclosed in the Registration Statement, the General Disclosure Package Prospectus and the ProspectusProspectus Supplement, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock Shares are or 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 shares of Common Stock Shares are currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the 18 Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer. The issuance and sale of the Securities hereunder does not contravene the rules and regulations of the Trading Market.

Appears in 1 contract

Samples: Securities Purchase Agreement (COPsync, Inc.)

Listing and Maintenance Requirements. The shares of Common Stock 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 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. Except as set forth in the Registration Statement, the General Disclosure Package and the Prospectus, the The Company has not, in the 12 months preceding the date hereofat any time since January 1, 2020, received notice from any Trading Market on which the Common Stock are Shares is or have 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 shares of Company is, and at all times since January 1, 2020 has been, 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 Common Stock Shares are currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Securities Purchase Agreement (Cardiff Oncology, Inc.)

Listing and Maintenance Requirements. The shares of Except as set forth in the SEC Reports, the Common Stock are 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. Except as set forth in the Registration Statement, the General Disclosure Package and the ProspectusSEC Reports, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock are is or have 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 shares of Common Stock are is currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Securities Purchase Agreement (Helios & Matheson Analytics Inc.)

Listing and Maintenance Requirements. The shares of Common Stock 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 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. Except as set forth in the Registration StatementSEC Reports, the General Disclosure Package Registration Statement and the Prospectus, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock are or 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 shares of Common Stock are currently eligible for electronic transfer through The Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Securities Purchase Agreement (Glimpse Group, Inc.)

Listing and Maintenance Requirements. The shares of Common Stock are is listed on the Trading Market and the issuance and sale of the Shares as contemplated in this Agreement does not contravene the rules and regulations of the Trading Market. 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. Except as set forth in the Registration Statement, the General Disclosure Package and the Prospectus, the The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock are is or have 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 shares of Common Stock are is currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Market Offering Agreement (Uranium Energy Corp)

Listing and Maintenance Requirements. The shares of Common Stock are 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. Except as set forth disclosed in the Registration StatementSEC Reports, including the General Disclosure Package and the ProspectusCurrent Report on Form 8-K dated November 12, 2019, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock are is or have 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 shares of Common Stock are is currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Placement Agency Agreement (Phio Pharmaceuticals Corp.)

Listing and Maintenance Requirements. The shares of Common Stock are 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. Except as set forth in for a deficiency letter dated February 2, 2015 received by the Registration Statement, the General Disclosure Package and the ProspectusCompany from The NASDAQ Stock Market LLC, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock are is or have 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 shares of Common Stock are is currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Securities Purchase Agreement (Cyclacel Pharmaceuticals, Inc.)

Listing and Maintenance Requirements. The shares of Except as disclosed in Schedule 3.1(x), the Common Stock Shares are registered pursuant to Section 12(b) or 12(g) of the Exchange ‘34 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 Shares under the Exchange ‘34 Act nor has the Company received any notification that the Commission is contemplating terminating such registration. Except as set forth in the Registration Statement, the General Disclosure Package and the Prospectuson Schedule 3.1(x), the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock Shares are or 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 shares of 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 Common Stock Shares are currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Securities Purchase Agreement (Caravelle International Group)

AutoNDA by SimpleDocs

Listing and Maintenance Requirements. The shares Company is subject to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the Commission; the Common Stock are is registered pursuant to with the Commission under Section 12(b) or 12(g) of the Exchange Act, Act and the Company has taken no action designed to, is not in breach of any filing or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock other requirements under the Exchange Act nor Act. The Company has the Company not received any notification notice from that the Commission is contemplating terminating such registration. Except as set forth in the SEC Reports, the Registration Statement, the General Disclosure Package the Prospectus and the ProspectusProspectus Supplement, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock are or 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 shares of Common Stock are is currently eligible for electronic transfer through The Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Securities Purchase Agreement (Vaccinex, Inc.)

Listing and Maintenance Requirements. The shares of Common Stock are 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 nor, except as disclosed in the SEC Reports, has the Company received any notification that the Commission is contemplating terminating such registration. Except as set forth disclosed in the Registration Statement, the General Disclosure Package and the ProspectusSEC Reports, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock are is or have 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 shares of Common Stock are currently eligible for electronic transfer through The Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Securities Purchase Agreement (Plus Therapeutics, Inc.)

Listing and Maintenance Requirements. The shares of Except as set forth on Schedule 3.1(x), the Common Stock are 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 the Company’s 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. Except as set forth in the Registration Statement, the General Disclosure Package and the ProspectusSEC Reports or on Schedule 3.1(x), the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock are is or have 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 shares of Company has taken commercially reasonable efforts to reach compliance with the listing or maintenance requirements in the foreseeable future. The Common Stock are is currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Securities Purchase Agreement (Opgen Inc)

Listing and Maintenance Requirements. The shares of Common Stock 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 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. Except as set forth in SEC Reports, the Registration Statement, the General Disclosure Package and the Prospectus, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock are or 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 shares of Common Stock are currently eligible for electronic transfer through The Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Securities Purchase Agreement (Ekso Bionics Holdings, Inc.)

Listing and Maintenance Requirements. The shares of Common Stock 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 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. Except as set forth in the Registration Statement, the General Disclosure Package and the Prospectus, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock Shares are or 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 shares of 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 Common Stock Shares are currently eligible for electronic transfer through The Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Securities Purchase Agreement (Versus Systems Inc.)

Listing and Maintenance Requirements. (i) The shares of Common Stock 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 likely to have the effect of, terminating the registration of the Common Stock Share under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. Except as previously disclosed in the SEC Reports or as set forth in the Registration Statement, the General Disclosure Package and the Prospectuson 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 are Share is or have 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 shares of 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 Common Stock are Share is currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Securities Purchase Agreement (BriaCell Therapeutics Corp.)

Listing and Maintenance Requirements. The shares of Common Stock are 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. Except as set forth in the Registration Statement, the General Disclosure Package and the ProspectusSEC Reports, 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 are is or have 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 shares of Company will, and has no reason to believe that it will not, be in compliance with all such listing and maintenance requirements by December 31, 2017. The Common Stock are is currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Securities Purchase Agreement (JRjr33, Inc.)

Listing and Maintenance Requirements. The shares of Common Stock are Shares 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 Shares under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. Except as set forth in for the Registration Statementwritten notice dated June 17, 2022 from the General Disclosure Package and the Prospectus, listing qualifications department staff of The Nasdaq Capital Market the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock are Shares is or have 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 shares of Common Stock are Shares is currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Securities Purchase Agreement (InMed Pharmaceuticals Inc.)

Listing and Maintenance Requirements. The shares of Common Stock are is listed on the Trading Market and the issuance of the Shares as contemplated by this Agreement does not contravene the rules and regulations of the Trading Market. 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. Except as set forth in the Registration Statement, the General Disclosure Package and the Prospectus, the The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock are is or have 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 shares of Common Stock are is currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Market Offering Agreement (Pear Therapeutics, Inc.)

Listing and Maintenance Requirements. The shares of Common Stock 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 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. Except as set forth in for the Registration Statementwritten notice dated June 17, 2022 from the General Disclosure Package and the Prospectus, listing qualifications department staff of The Nasdaq Capital Market the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock Shares are or 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 shares of Common Stock Shares are currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Securities Purchase Agreement (InMed Pharmaceuticals Inc.)

Listing and Maintenance Requirements. The shares of Common Stock are 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. Except as set forth in the Registration StatementSEC Reports (including the Company Current Reports on Form 8-K filed on August 31, the General Disclosure Package 2022, November 25, 2022 and the ProspectusFebruary 14, 2023), the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock are is or have 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 shares of Common Stock are is currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Securities Purchase Agreement (CONTRAFECT Corp)

Listing and Maintenance Requirements. The shares of Common Stock are 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. Except as set forth in the Registration StatementSince May 24, the General Disclosure Package and the Prospectus2021, the Company has not, in the 12 months preceding the date hereof, not received notice from any Trading Market on which the Common Stock are is or have 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 shares of 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 Common Stock are is currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Form of Securities Purchase Agreement (NRX Pharmaceuticals, Inc.)

Listing and Maintenance Requirements. The shares of Common Stock are 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. Except Other than as set forth disclosed in that certain Current Report on Form 8-K filed by the Registration StatementCompany on November 25, the General Disclosure Package and the Prospectus2020 as more particularly described on Schedule 3.1(x), the Company has not, in the 12 months preceding the date hereof, received any further notice from any Trading Market on which the Common Stock are is or have 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 shares of Common Stock are is currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Securities Purchase Agreement (Creatd, Inc.)

Listing and Maintenance Requirements. The shares of Common Stock are 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. Except Other than as set forth disclosed in that certain Current Report on Form 8-K filed by the Registration StatementCompany on March 12, the General Disclosure Package and the Prospectus2021 as more particularly described on Schedule 3.1(w), the Company has not, in the 12 months preceding the date hereof, received any further notice from any Trading Market on which the Common Stock are is or have 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 shares of Common Stock are is currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Securities Purchase Agreement (Creatd, Inc.)

Listing and Maintenance Requirements. The shares of Common Stock are 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. Except as set forth in the Registration StatementSince May 24, the General Disclosure Package and the Prospectus2021, the Company has not, in the 12 months preceding the date hereof, not received notice from any Trading Market on which the Common Stock are is or have 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 shares of 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 Common Stock are is currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Securities Purchase Agreement (NRX Pharmaceuticals, Inc.)

Listing and Maintenance Requirements. The shares of Common Stock 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 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. Except as set forth in the Registration Statement, the General Disclosure Package and the Prospectus, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock Shares are or 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 shares of Common Stock Shares are currently eligible for electronic transfer through The Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Securities Purchase Agreement (Versus Systems Inc.)

Listing and Maintenance Requirements. The shares of Common Stock 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 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. Except as set forth in the Registration Statement, the General Disclosure Package and the Prospectus, the The Company has not, in the 12 months preceding the date hereofat any time since March 6, 2015, received notice from any Trading Market on which the Common Stock are Shares is or have 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 shares of Company is, and at all times since March 6, 2015, has been, 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 Common Stock Shares are currently eligible for electronic transfer through The the Depository Trust Company or another established clearing corporation and the Company is current in payment of the fees to The the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.

Appears in 1 contract

Samples: Securities Purchase Agreement (Kura Oncology, Inc.)

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