Listing and Maintenance Requirements. The Company is subject to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) of the Exchange Act and the Company is not in breach of any filing or other requirements under the Exchange Act. The Company has not received any notice from that the Commission is contemplating terminating such registration 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 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 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 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 8 contracts
Samples: Securities Purchase Agreement (Tonix Pharmaceuticals Holding Corp.), Securities Purchase Agreement (Tonix Pharmaceuticals Holding Corp.), Securities Purchase Agreement (Tonix Pharmaceuticals Holding Corp.)
Listing and Maintenance Requirements. The Company is subject to the reporting requirements shares of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares Common Stock are registered with the SEC under pursuant to Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed in the SEC Reportsset 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 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 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 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 8 contracts
Samples: Securities Purchase Agreement (Soligenix, Inc.), Securities Purchase Agreement (Zivo Bioscience, Inc.), Securities Purchase Agreement (Genprex, Inc.)
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed in the SEC Reportsset forth on Schedule 3.1(x), (i) 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 Market 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. The Common Stock 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 8 contracts
Samples: Securities Purchase Agreement, Securities Purchase Agreement (Rennova Health, Inc.), Securities Purchase Agreement (Rennova Health, Inc.)
Listing and Maintenance Requirements. The Company is subject to the reporting requirements shares of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares Common Stock are registered with the SEC under pursuant to Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as previously 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 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 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 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 7 contracts
Samples: Securities Purchase Agreement (Volato Group, Inc.), Securities Purchase Agreement (Tonix Pharmaceuticals Holding Corp.), Securities Purchase Agreement (Tonix Pharmaceuticals Holding Corp.)
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to terminate, or which to its knowledge is not in breach likely to have the effect of any filing or other requirements terminating, the registration of the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed 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 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 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 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 6 contracts
Samples: Securities Purchase Agreement (Microbot Medical Inc.), Securities Purchase Agreement (Microbot Medical Inc.), Securities Purchase Agreement (Microbot Medical Inc.)
Listing and Maintenance Requirements. The Company is subject to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) of the Exchange Act and the Company is not in breach of any filing or other requirements under the Exchange Act. The Company has not received any notice from that the Commission is contemplating terminating such registration registration. 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 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 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 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 5 contracts
Samples: Form of Securities Purchase Agreement (Inuvo, Inc.), Securities Purchase Agreement (JanOne Inc.), Form of Securities Purchase Agreement (Inuvo, Inc.)
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed set forth in the SEC ReportsReports or 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 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 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 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 5 contracts
Samples: Securities Purchase Agreement (Muscle Maker, Inc.), Securities Purchase Agreement (Muscle Maker, Inc.), Securities Purchase Agreement (Opgen Inc)
Listing and Maintenance Requirements. The Company is subject to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Common Shares are registered with the SEC under pursuant to Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Shares under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed in the SEC ReportsRegistration Statement, 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 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 is 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 5 contracts
Samples: Securities Purchase Agreement (Seanergy Maritime Holdings Corp.), Securities Purchase Agreement (Seanergy Maritime Holdings Corp.), Securities Purchase Agreement (Seanergy Maritime Holdings Corp.)
Listing and Maintenance Requirements. The Company is subject to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Common Shares are registered with the SEC under pursuant to Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Shares under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed in the SEC Reportsset 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 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 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 is 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 4 contracts
Samples: Securities Purchase Agreement (Versus Systems Inc.), Securities Purchase Agreement (Versus Systems Inc.), Securities Purchase Agreement (Versus Systems Inc.)
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed set forth in the SEC ReportsRegistration Statement and 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 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 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 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 (Pedevco Corp), Securities Purchase Agreement (American Resources Corp), Securities Purchase Agreement (Digital Ally Inc)
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed set forth in the SEC ReportsSchedule 3.1(w), (a) 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 Market and (b) 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 Common Stock 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 (Bio Key International Inc), Securities Purchase Agreement (Bio Key International Inc), Securities Purchase Agreement (ReShape Lifesciences Inc.)
Listing and Maintenance Requirements. The Company is subject to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) of the Exchange Act and the Company is not in breach of any filing or other requirements under the Exchange Act. The Company has not received any notice from that the Commission is contemplating terminating such registration Except as disclosed in the SEC Reportsset forth on Schedule 3.1(z), 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 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 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 (Alpine 4 Technologies Ltd.), Securities Purchase Agreement (Cocrystal Pharma, Inc.), Securities Purchase Agreement (Cocrystal Pharma, Inc.)
Listing and Maintenance Requirements. The Company is subject to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Common Shares are registered with the SEC under pursuant to Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Shares under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed in set forth on 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 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 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 is 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 3 contracts
Samples: Form of Securities Purchase Agreement (Village Farms International, Inc.), Securities Purchase Agreement (Village Farms International, Inc.), Securities Purchase Agreement (Village Farms International, Inc.)
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed described in the SEC Reports, (i) 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 Market 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. The Common Stock 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 3 contracts
Samples: Securities Purchase Agreement (NovaBay Pharmaceuticals, Inc.), Securities Purchase Agreement (NovaBay Pharmaceuticals, Inc.), Securities Purchase Agreement (NovaBay Pharmaceuticals, Inc.)
Listing and Maintenance Requirements. The Company is subject to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are Common Stock is registered with the SEC under Section 12(b) of the Exchange Act and the Company is not in breach of any filing or other requirements under the Exchange Act. The Company has not received any notice from that the Commission is contemplating terminating such registration Except as disclosed in the SEC Reportsset forth on Schedule 3.1(y), 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 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 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 3 contracts
Samples: Securities Purchase Agreement (Inhibikase Therapeutics, Inc.), Securities Purchase Agreement (Inhibikase Therapeutics, Inc.), Securities Purchase Agreement (Inhibikase Therapeutics, Inc.)
Listing and Maintenance Requirements. The Company is subject to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares Securities are registered with the SEC under Section 12(b) of the Exchange Act and the Company is not in breach of any filing or other requirements under the Exchange Act. The Company has not received any notice from that the Commission is contemplating terminating such registration Except as disclosed in the SEC Reportsset forth on Schedule 3.1(z), 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 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 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 3 contracts
Samples: Securities Purchase Agreement (Acurx Pharmaceuticals, Inc.), Securities Purchase Agreement (Acurx Pharmaceuticals, Inc.), Securities Purchase Agreement (Alpine 4 Holdings, Inc.)
Listing and Maintenance Requirements. The Company is subject to the reporting requirements shares of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares Common Stock are registered with the SEC under pursuant to Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed 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 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 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 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: Securities Purchase Agreement (SELLAS Life Sciences Group, Inc.), Securities Purchase Agreement (SELLAS Life Sciences Group, Inc.), Securities Purchase Agreement (SELLAS Life Sciences Group, Inc.)
Listing and Maintenance Requirements. The Company is subject to the reporting requirements of Section 13 of the Exchange Act ADSs and files periodic reports with the SEC; the Ordinary Shares are registered with the SEC under pursuant to Section 12(b) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the ADSs and Ordinary Shares under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration Except as disclosed in the SEC Reports, the registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock ADSs or Ordinary 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 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 is ADSs 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 3 contracts
Samples: Form of Securities Purchase Agreement (Canaan Inc.), Form of Securities Purchase Agreement (WiMi Hologram Cloud Inc.), Form Securities Purchase Agreement (WiMi Hologram Cloud Inc.)
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed set forth in the SEC Reports, (i) 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 , 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. The Common Stock 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 3 contracts
Samples: Securities Purchase Agreement (Ontrak, Inc.), Securities Purchase Agreement (Ontrak, Inc.), Securities Purchase Agreement (Ontrak, Inc.)
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed set forth in the SEC 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 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 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 (Tenon Medical, Inc.), Securities Purchase Agreement (Tenon Medical, Inc.)
Listing and Maintenance Requirements. The Company is subject to the reporting requirements shares of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares Common Stock are registered with the SEC under pursuant to Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed set forth in the SEC ReportsSchedule 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 Company is, and has no reason to believe believe, that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements. The Common Stock 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 (Imunon, Inc.), Securities Purchase Agreement (Imunon, Inc.)
Listing and Maintenance Requirements. The Company is subject On or prior to the reporting requirements of Section 13 of Closing Date, the Exchange Act and files periodic reports with the SEC; the Common Shares are will be registered with the SEC under pursuant to Section 12(b) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Shares under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration Except as disclosed in the SEC Reports, the 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 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 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 is 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 of the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.
Appears in 2 contracts
Samples: Algernon Pharmaceuticals Inc., Algernon Pharmaceuticals Inc.
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission SEC is contemplating terminating such registration registration. Except as disclosed in the SEC Reports, the Company has not, in the 12 twelve 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 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 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 (Birner Dental Management Services Inc), On Securities Purchase Agreement (Birner Dental Management Services Inc)
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed set forth in 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 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 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 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 (Smart for Life, Inc.), Securities Purchase Agreement (Smart for Life, Inc.)
Listing and Maintenance Requirements. The Company is subject to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Common Shares are registered with the SEC under pursuant to Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Shares under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed 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 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 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 is 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. The issuance and sale of the Securities hereunder does not contravene the rules and regulations of the Trading Market.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Stellar Biotechnologies, Inc.), Securities Purchase Agreement (Stellar Biotechnologies, Inc.)
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed set forth in the SEC Reports, the Company has not, in the 12 months preceding the date hereofof this Agreement, 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 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 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 (Alpha Teknova, Inc.), Securities Purchase Agreement (Alpha Teknova, Inc.)
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration Except as disclosed in the SEC Reports, the registration. The Company has not, in the 12 months preceding the date hereofhereof (or for such shorter period as the Company has been subject to the listing requirements), 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 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 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 of the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.
Appears in 2 contracts
Samples: Underwriting Agreement (Cleanspark, Inc.), Cleanspark, Inc.
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as for the Nasdaq minimum bid price deficiency notice 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 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 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. The Common Stock 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 (Wisa Technologies, Inc.), Securities Purchase Agreement (Wisa Technologies, Inc.)
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as set forth on Schedule 3.1(w) and disclosed in the SEC ReportsProspectus, 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 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 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 (SeaStar Medical Holding Corp)
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The , nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed in the SEC Reportsset forth on Schedule 2.1(x), (i) 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 Market 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. The Common Stock 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
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed in set forth on Schedule 3.1(x) of the SEC ReportsDisclosure Schedules, 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 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 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 (Blonder Tongue Laboratories Inc)
Listing and Maintenance Requirements. The Company Borrower’s common stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and Borrower has taken no action designed to, or which to its knowledge is likely to have the Company is not in breach effect of, terminating the registration of any filing or other requirements Borrower’s common stock under the Exchange Act. The Company Act nor has not Borrower received any notice from notification that the Commission is contemplating terminating such registration Except as disclosed in the SEC Reports, the Company registration. Borrower has not, in the 12 months preceding the date hereof, received notice from any Trading Market trading market on which the Common Stock are Borrower’s common stock is or have has been listed or quoted to the effect that the Company Borrower is not in compliance with the listing or maintenance requirements of such Trading Markettrading market. The Company Borrower 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 is currently eligible for electronic transfer through the Depository Trust Company or another established clearing corporation and the Company Borrower 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: Loan and Security Agreement (Mill City Ventures III, LTD)
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to terminate, or which to its knowledge is not in breach likely to have the effect of any filing or other requirements terminating, the registration of the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as previously disclosed in the Company’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 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. The Common Stock 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 for Units (Tenax Therapeutics, Inc.)
Listing and Maintenance Requirements. The Company is subject to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are Common Stock is registered with the SEC under Section 12(b) of the Exchange Act and the Company is not in breach of any filing or other requirements under the Exchange Act. The Company has not taken no action designed to or which is likely to have the effect of terminating the registration of its Common Stock under the Exchange Act nor has it received any notice from the Commission that the Commission is contemplating terminating such registration Except as disclosed in the SEC Reports, the 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 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 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 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 (Perma Fix Environmental Services Inc)
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed in the SEC Reportsset forth on Schedule 3.1(x), (i) 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 Market 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. The Common Stock 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 (AzurRx BioPharma, Inc.)
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration Except registration. Other than as disclosed set forth in the SEC ReportsSchedule 3.1(w), 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 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 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 (Evelo Biosciences, Inc.)
Listing and Maintenance Requirements. The Company is subject to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares ADSs are registered with the SEC under pursuant to Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the ADSs under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration Except registration. Other than 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 ADSs 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 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 is ADSs 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 (Ambrx Biopharma Inc.)
Listing and Maintenance Requirements. The Company is subject to the reporting requirements shares of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares Common Stock are registered with the SEC under pursuant to Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed set forth in the SEC ReportsSchedule 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 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 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
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration Except registration. Other than as disclosed set forth in the SEC 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 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 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 (xG TECHNOLOGY, INC.)
Listing and Maintenance Requirements. The Company is subject to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) of the Exchange Act and the Company is not in breach of any filing or other requirements under the Exchange Act. The Company has not received any notice from that the Commission is contemplating terminating such registration registration. 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 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 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 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 (Verb Technology Company, Inc.)
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed in the Company’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 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 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
Listing and Maintenance Requirements. The Company is subject to the reporting requirements shares of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares Common Stock are registered with the SEC under pursuant to Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed in the SEC Reportsset 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 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 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 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
Listing and Maintenance Requirements. The Company common stock of Borrower is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and Borrower has taken no action designed to, or which to its knowledge is likely to have the Company is not in breach effect of, terminating the registration of any filing or other requirements the common stock of Borrower under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration Except as disclosed in the SEC Reports, the Company registration. Borrower has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock are common stock of Borrower is or have has been listed or quoted to the effect that the Company Borrower is not in compliance with the listing or maintenance requirements of such Trading Market. The Company Borrower 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 common stock of Borrower 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
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration Except as disclosed in the SEC Reports, the registration. 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 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 for Rule 5550(a)(2) of the Nasdaq Marketplace Rules. The Common Stock 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 of the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.
Appears in 1 contract
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed in the Company’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 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 requirementsrequirements in all material respects. The Common Stock 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 (Ascent Solar Technologies, Inc.)
Listing and Maintenance Requirements. The Company is subject to the reporting requirements of Section 13 Each of the Exchange Act Common Stock and files periodic reports with the SEC; the Shares are Warrants is registered with the SEC under pursuant to Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing the Common Stock or other requirements the Warrants under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration Except as disclosed in the SEC Reports, the registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock and/or the Warrants 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 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 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 (Applied Dna Sciences Inc)
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed set forth in the SEC ReportsTime of Sale Disclosure Package, 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 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 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: Placement Agency Agreement (Westwater Resources, Inc.)
Listing and Maintenance Requirements. (i) The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed in the SEC Reports, 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 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 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 and Exchange Agreement (DPW Holdings, Inc.)
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed in set forth on Schedule 3.1(xx) of the SEC ReportsDisclosure Schedule, 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 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 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 (Staffing 360 Solutions, Inc.)
Listing and Maintenance Requirements. The Company is subject to the reporting requirements of Section 13 Upon completion of the Exchange Act and files periodic reports with Domestication Merger, the SEC; the Shares are Common Stock will be registered with the SEC under pursuant to Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration Except as disclosed in the SEC Reports, the registration. 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 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 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
Listing and Maintenance Requirements. The Company is subject Common Stock has been registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) of the Exchange Act Act, and has been approved for listing on the Company is not in breach of any filing or other requirements under the Exchange ActTrading Market. The Company has not 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 notice from notification that the Commission is contemplating terminating such registration registration. 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 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 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 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 of the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.
Appears in 1 contract
Listing and Maintenance Requirements. The Company is subject to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Common Shares are registered with the SEC under pursuant to Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Shares under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed in the SEC Reportsset forth 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 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 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 is 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 (Very Good Food Co Inc.)
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as may be disclosed in the SEC Reportson 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 Company is, is and has no reason to believe that it will not not, in the foreseeable future future, continue to be, be in compliance with all such listing and maintenance requirementsrequirements in all material respects. The Common Stock is currently eligible for electronic transfer through the Depository Trust Company DTC or another established clearing corporation and the Company is current in payment of the fees to the Depository Trust Company DTC (or such other established clearing corporation) in connection with such electronic transfer.
Appears in 1 contract
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act 1934 Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The 1934 Act nor has the Company has not received any notice from notification that the Commission SEC is contemplating terminating such registration registration. Except as disclosed in the SEC Reports, the Company has not, in the 12 months preceding the date hereof, received notice from the Principal Market or any Trading Market 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 Markettrading 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 Common Stock 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: Subscription Agreement (Odyssey Marine Exploration Inc)
Listing and Maintenance Requirements. The Company is subject to Class A Shares and the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares ADSs are registered with the SEC under pursuant to Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing the ADSs or other requirements Class A Shares under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration Except as disclosed in the SEC Reports, the 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 ADSs are 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 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 is ADSs 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
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed described in the SEC ReportsSchedule 3.1(w), (i) 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 Market 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. The Common Stock 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, except where such nonpayment would not be reasonably expected to have a Material Adverse Effect.
Appears in 1 contract
Samples: Securities Purchase Agreement (NovaBay Pharmaceuticals, Inc.)
Listing and Maintenance Requirements. The Company is subject to Shares and the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares ADSs are registered with the SEC under 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 not in breach likely to have the effect of, terminating the registration of any filing the ADSs or other requirements Shares under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration Except as disclosed in the SEC Reports, the registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock ADSs or Ordinary 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 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 is ADSs 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
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed in the SEC Reportsset forth on Schedule 3.1(w) attached hereto, 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 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 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
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to terminate, or which to its knowledge is not in breach likely to have the effect of any filing or other requirements terminating, the registration of the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. 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 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 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 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 (Second Sight Medical Products Inc)
Listing and Maintenance Requirements. The Company is subject to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Common Shares are registered with the SEC under pursuant to Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Shares under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration Except registration. Other than as disclosed in the SEC Reportspublicly disclosed, 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 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 is 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
Listing and Maintenance Requirements. The Company is subject to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Common Shares are registered with the SEC under pursuant to Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Shares under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. 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 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 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 is 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 (Auris Medical Holding Ltd.)
Listing and Maintenance Requirements. The Company is subject to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Ordinary Shares are registered with the SEC under pursuant to Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Ordinary Shares under the Exchange Act. The Act nor has the Company has not received 17 4865-0154-1717 v.6 any notice from notification that the Commission is contemplating terminating such registration Except as disclosed in the SEC Reports, the registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock Ordinary 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 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 is Ordinary 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 (Virax Biolabs Group LTD)
Listing and Maintenance Requirements. The Company is subject to the reporting requirements shares of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares Common Stock are registered with the SEC under pursuant to Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the shares of Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed 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 are 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 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 is 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.. (x)
Appears in 1 contract
Samples: Securities Purchase Agreement (Digital Media Solutions, Inc.)
Listing and Maintenance Requirements. The Company Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) or 12(g) of the Exchange Act ‘34 Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The ‘34 Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed in the SEC Reportsset forth 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 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. The Common Stock 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 (Trio Petroleum Corp.)
Listing and Maintenance Requirements. The Company is subject to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Common Shares are registered with the SEC under pursuant to Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Shares under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration Except registration. Other than as disclosed described 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 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 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 is 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 (NLS Pharmaceutics Ltd.)
Listing and Maintenance Requirements. The Company Voting Common Stock is subject registered pursuant to the reporting requirements of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares are registered with the SEC under Section 12(b) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Voting Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed in the SEC Reportsset forth under 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 Voting 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 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 Voting Common Stock 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 of the Depository Trust Company (or such other established clearing corporation) in connection with such electronic transfer.
Appears in 1 contract
Listing and Maintenance Requirements. The Company is subject to the reporting requirements shares of Section 13 of the Exchange Act and files periodic reports with the SEC; the Shares Common Stock are registered with the SEC under pursuant to Section 12(b) or 12(g) of the Exchange Act Act, and the Company has taken no action designed to, or which to its knowledge is not in breach likely to have the effect of, terminating the registration of any filing or other requirements the Common Stock under the Exchange Act. The Act nor has the Company has not received any notice from notification that the Commission is contemplating terminating such registration registration. Except as disclosed in the SEC Reportsset forth on Schedule 3.1(w), 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 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 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
