Common use of No Integrated Offering Clause in Contracts

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities Act.

Appears in 10 contracts

Samples: Form of Securities Purchase Agreement (Helius Medical Technologies, Inc.), Securities Purchase Agreement (NEUROONE MEDICAL TECHNOLOGIES Corp), Securities Purchase Agreement (NEUROONE MEDICAL TECHNOLOGIES Corp)

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No Integrated Offering. Neither the Company nor any of its Affiliates, subsidiaries nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Securities under the Securities 1933 Act.

Appears in 9 contracts

Samples: Securities Purchase Agreement (Solid Biosciences Inc.), Securities Purchase Agreement (X4 Pharmaceuticals, Inc), Securities Purchase Agreement (X4 Pharmaceuticals, Inc)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities Act.

Appears in 9 contracts

Samples: Securities Purchase Agreement (GTX Inc /De/), Securities Purchase Agreement (GTX Inc /De/), Securities Purchase Agreement (Hansen Medical Inc)

No Integrated Offering. Neither the Company Company, nor any of its Affiliatesaffiliates, nor any Person person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities ActAct or cause this offering of the Shares to be integrated with prior offerings by the Company for purposes of the Securities Act or any applicable stockholder approval provisions.

Appears in 9 contracts

Samples: Common Stock Purchase Agreement (Power Kiosks Inc), Common Stock Purchase Agreement (Softquad Software LTD), Class B Convertible Preferred Stock Purchase Agreement (Softquad Software LTD)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) of the Securities Act for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Purchased Securities under the Securities Act.

Appears in 8 contracts

Samples: Securities Purchase Agreement (Emerald Oil, Inc.), Securities Purchase Agreement (Emerald Oil, Inc.), Securities Purchase Agreement (Emerald Oil, Inc.)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person person or entity acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Securities under the Securities Act.

Appears in 8 contracts

Samples: Securities Purchase Agreement (Solexa, Inc.), Securities Purchase Agreement (Aradigm Corp), Securities Purchase Agreement (Solexa, Inc.)

No Integrated Offering. Neither the Company Company, nor any of its Affiliatesaffiliates, nor any Person person acting on its or their behalf hasbehalf, has directly or indirectly, indirectly made any offers or sales of any Company security or solicited any offers to buy any security, security under circumstances that would adversely affect reliance by prevent the Company on Section 4(a)(2) for the exemption parties hereto from registration for consummating the transactions contemplated hereby or would require pursuant to an exemption from registration of the Shares under the Securities Act pursuant to the provisions of Regulation D. The transactions contemplated hereby are exempt from the registration requirements of the Securities Act, assuming the accuracy of the representations and warranties herein contained of each Purchaser.

Appears in 7 contracts

Samples: Note and Warrant Purchase Agreement, Note Purchase Agreement (China SLP Filtration Technology, Inc.), Common Stock and Warrant Purchase Agreement (Super Vision International Inc)

No Integrated Offering. Neither the Company nor any of its Affiliates, subsidiaries nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities 1933 Act.

Appears in 6 contracts

Samples: Securities Purchase Agreement (Century Therapeutics, Inc.), Securities Purchase Agreement (Krystal Biotech, Inc.), Securities Purchase Agreement (Solid Biosciences Inc.)

No Integrated Offering. Neither the Company nor Company, nor, to its knowledge, any of its Affiliates, nor any affiliates or other Person acting on its or their the Company’s behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, security under circumstances that would adversely affect reliance cause the Offering of the Securities to be integrated with prior offerings by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration purposes of the Shares under Securities Act, when integration would cause the Offering not to be exempt from the registration requirements of Section 5 of the Securities Act.

Appears in 6 contracts

Samples: Securities Purchase Agreement, Securities Purchase Agreement (22nd Century Group, Inc.), Securities Purchase Agreement (22nd Century Group, Inc.)

No Integrated Offering. Neither of the Company nor any of its Affiliates, nor or any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for of the exemption from registration for the transactions contemplated hereby Securities Act or would require registration of any of the Shares under the Securities Act or cause this offering of the Shares to be integrated with prior offerings by the Company for purposes of the Securities Act.

Appears in 6 contracts

Samples: Securities Purchase Agreement (Puma Biotechnology, Inc.), Securities Purchase Agreement (Puma Biotechnology, Inc.), Securities Purchase Agreement (Obalon Therapeutics Inc)

No Integrated Offering. Neither the Company Company, nor any of its Affiliatesaffiliates, nor any Person person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Convertible Debentures, the Warrants, the Warrant Shares or the Conversion Shares under the Securities Act or cause this offering of the Convertible Debentures, the Warrants, the Warrant Shares or the Conversion Shares to be integrated with prior offerings by the Company for purposes of the Securities Act.

Appears in 5 contracts

Samples: Securities Purchase Agreement (Cromwell Uranium Corp.), Securities Purchase Agreement (Cenuco Inc), Securities Purchase Agreement (Cenuco Inc)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) of the Securities Act for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Securities under the Securities ActAct or would be integrated under the Nasdaq Marketplace Rules.

Appears in 5 contracts

Samples: Common Stock and Warrant Purchase Agreement (Ats Medical Inc), Common Stock and Warrant Purchase Agreement (Sunesis Pharmaceuticals Inc), Common Stock and Warrant Purchase Agreement (Sunesis Pharmaceuticals Inc)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities 1933 Act.

Appears in 5 contracts

Samples: Purchase Agreement (OptimizeRx Corp), Purchase Agreement (Aehr Test Systems), Stock Purchase Agreement (China Commercial Credit Inc)

No Integrated Offering. Neither the Company nor any of its AffiliatesCompany, nor any Person affiliate of the Company, nor, to the Company’s knowledge any person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance cause this Offering to be integrated with prior offerings by the Company on Section 4(a)(2) for in such a manner that would subject this Offering to the exemption from registration for the transactions contemplated hereby or would require registration requirements of the Shares under section 5 of the Securities Act.

Appears in 5 contracts

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

No Integrated Offering. Neither the Company nor any of its Affiliatesaffiliates, nor any Person person or entity acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) of the Securities Act for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Securities under the Securities Act.

Appears in 5 contracts

Samples: Securities Purchase Agreement (Metabasis Therapeutics Inc), Securities Purchase Agreement (Metabasis Therapeutics Inc), Securities Purchase Agreement (Trikon Technologies Inc)

No Integrated Offering. Neither of the Company nor or any of its Affiliates, nor any Person person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for of the exemption from registration for the transactions contemplated hereby Securities Act or would require registration of any of the Shares Securities under the Securities Act or cause this offering of the Securities to be integrated with prior offerings by the Company for purposes of the Securities Act.

Appears in 5 contracts

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

No Integrated Offering. Neither the Company nor any of its Affiliates, Subsidiaries nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities 1933 Act.

Appears in 5 contracts

Samples: Securities Purchase Agreement (Advaxis, Inc.), Securities Purchase Agreement (Advaxis, Inc.), Securities Purchase Agreement (Rafael Holdings, Inc.)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Securities under the Securities 1933 Act.

Appears in 5 contracts

Samples: Purchase Agreement (Incara Pharmaceuticals Corp), Debenture and Warrant Purchase Agreement (Antares Pharma Inc), Purchase Agreement (Visionics Corp)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) of the Securities Act for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Purchased Securities under the Securities Act.

Appears in 4 contracts

Samples: Securities Purchase Agreement (Nn Inc), Securities Purchase Agreement (Velocity Financial, Inc.), Securities Purchase Agreement (Nn Inc)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) of the Securities Act for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities ActAct or would be integrated under the Nasdaq Marketplace Rules.

Appears in 3 contracts

Samples: Common Stock Purchase Agreement (Intraop Medical Corp), Common Stock Purchase Agreement (Intraop Medical Corp), Common Stock Purchase Agreement (Intraop Medical Corp)

No Integrated Offering. Neither of the Company nor any of its Affiliates, nor or any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Regulation D, Regulation S or Section 4(a)(2) for of the exemption from registration for the transactions contemplated hereby Securities Act or would require registration of any of the Shares Securities under the Securities Act or cause this offering of the Securities to be integrated with prior offerings by the Company for purposes of the Securities Act.

Appears in 3 contracts

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

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person individual or entity acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) of the Securities Act for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities Act.

Appears in 3 contracts

Samples: Stock Purchase Agreement (Spectrum Pharmaceuticals Inc), Stock Purchase Agreement (Talon Therapeutics, Inc.), Stock Purchase Agreement (Bluefly Inc)

No Integrated Offering. Neither the Company nor any of its Affiliates, subsidiaries nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities 1933 Act.

Appears in 3 contracts

Samples: Securities Purchase Agreement (MeiraGTx Holdings PLC), Securities Purchase Agreement (MeiraGTx Holdings PLC), Securities Purchase Agreement (Aclaris Therapeutics, Inc.)

No Integrated Offering. Neither the Company Company, nor any of its Affiliatesaffiliates, nor any Person person acting on its or their behalf hasbehalf, has directly or indirectly, indirectly made any offers or sales of any Company security or solicited any offers offerers to buy any security, security under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Securities being offered hereby under the Securities ActAct or cause this offering of Securities to be integrated with any prior offering of the Company for purposes of the Securities Act or any applicable shareholder approval provisions.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Accent Software International LTD), Securities Purchase Agreement (Accent Software International LTD), Securities Purchase Agreement (Accent Software International LTD)

No Integrated Offering. Neither the Company nor any of its Affiliates, Subsidiaries nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any security of the Company security or solicited any offers to buy any securitysecurity of the Company, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities 1933 Act.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Centogene N.V.), Warrant Agreement (Centogene N.V.), Securities Purchase Agreement (Merus N.V.)

No Integrated Offering. Neither the Company nor any of its Affiliates, Subsidiaries nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Closing Securities under the Securities 1933 Act.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Entasis Therapeutics Holdings Inc.), Securities Purchase Agreement (Innoviva, Inc.), Securities Purchase Agreement (Selecta Biosciences Inc)

No Integrated Offering. Neither the Company Company, nor any of its AffiliatesSubsidiaries or affiliates, nor any Person person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, other than pursuant to this Agreement, under circumstances that would adversely affect reliance by require the Company on Section 4(a)(2) for offering of such other securities to be integrated with the exemption from registration for the transactions contemplated hereby or would require registration shares of the Shares Common Stock to be issued under the Securities Actthis Agreement.

Appears in 3 contracts

Samples: Flexible Financing Agreement (Cygnus Inc /De/), Structured Equity Line Flexible Financing Agreement (Cygnus Inc /De/), Financing Agreement (Cygnus Inc /De/)

No Integrated Offering. Neither the Company nor any of its Affiliates, Affiliates nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) and Regulation D for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Securities under the Securities 1933 Act.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Inhibrx, Inc.), Securities Purchase Agreement (Taysha Gene Therapies, Inc.), Securities Purchase Agreement (UroGen Pharma Ltd.)

No Integrated Offering. Neither the Company Company, nor any of its Affiliatesaffiliates, nor any Person person acting on its or their behalf hasbehalf, has directly or indirectly, indirectly made any offers or sales of any Company security or solicited any offers to buy any security, security under circumstances that would adversely affect reliance by prevent the Company on Section 4(a)(2) for the exemption parties hereto from registration for consummating the transactions contemplated hereby or would require pursuant to an exemption from registration of the Shares under the Securities Act.Act pursuant to the provisions of Regulation D.

Appears in 3 contracts

Samples: Medcare Technologies Inc, Medcare Technologies Inc, Medcare Technologies Inc

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Regulation D or Section 4(a)(24(2) of the Securities Act for the exemption from registration for the transactions contemplated hereby or would require registration of the any Shares under the Securities ActAct or would be integrated under the NASDAQ Marketplace Rules.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Biomarin Pharmaceutical Inc), Securities Purchase Agreement (Biomarin Pharmaceutical Inc), Securities Purchase Agreement (La Jolla Pharmaceutical Co)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(23(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Securities under the Securities 1933 Act.

Appears in 3 contracts

Samples: Stock Purchase Agreement (Velocity Express Corp), Stock Purchase Agreement (Velocity Express Corp), Stock Purchase Agreement (Velocity Express Corp)

No Integrated Offering. Neither the Company nor any of its ---------------------- Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Securities under the Securities 1933 Act.

Appears in 3 contracts

Samples: Purchase Agreement (Amerigon Inc), Exchange Agreement (Amerigon Inc), Purchase Agreement (Amerigon Inc)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) for the exemption from registration for the transactions contemplated hereby or would require registration under the 1933 Act of the offer and sale of the Shares under the Securities Actpursuant to this Agreement.

Appears in 3 contracts

Samples: Registration Rights Agreement (Bay Bancorp, Inc.), Securities Purchase Agreement (Bay Bancorp, Inc.), Securities Purchase Agreement (Crumbs Bake Shop, Inc.)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, including, without limitation, the Convertible Notes, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Securities under the Securities 1933 Act.

Appears in 3 contracts

Samples: Form of Purchase Agreement (Visualant Inc), Form of Purchase Agreement (Visualant Inc), Form of Purchase Agreement (Visualant Inc)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, Company security under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) of the Securities Act for the exemption from the registration requirements imposed under Section 5 of the Securities Act for the transactions contemplated hereby by this Agreement or the other Transaction Documents or would require such registration of the Shares under the Securities Act.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Biosphere Medical Inc), Securities Purchase Agreement (Molecular Insight Pharmaceuticals, Inc.), Stock Purchase Agreement (Molecular Insight Pharmaceuticals, Inc.)

No Integrated Offering. Neither the Company nor any of its Affiliates, subsidiary nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities 1933 Act.

Appears in 3 contracts

Samples: Stock Purchase Agreement (Verve Therapeutics, Inc.), Securities Purchase Agreement (Syros Pharmaceuticals, Inc.), Securities Purchase Agreement

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities 1933 Act.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Clearside Biomedical, Inc.), Securities Purchase Agreement (ASTROTECH Corp), Securities Purchase Agreement (ASTROTECH Corp)

No Integrated Offering. Neither the Company nor nor, to the knowledge of the Company, any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, or otherwise taken any action or abstained from taking any action, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) and/or Regulation D for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities Act.

Appears in 3 contracts

Samples: Stock Purchase Agreement (Velocity Express Corp), Stock Purchase Agreement (Velocity Express Corp), Stock Purchase Agreement (Velocity Express Corp)

No Integrated Offering. Neither None of the Company nor Company, any of its Affiliates, nor subsidiaries or any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any securitysecurity of the Company or any of its subsidiaries, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for of the exemption from registration for the transactions contemplated hereby Securities Act or would require registration of any of the Shares under the Securities Act or cause this offering of the Shares to be integrated with prior offerings by the Company or any of its subsidiaries for purposes of the Securities Act.

Appears in 3 contracts

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

No Integrated Offering. Neither the Company nor any of its Affiliates, subsidiaries nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Placement Securities under the Securities 1933 Act.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Ocular Therapeutix, Inc), Securities Purchase Agreement (Arvinas, Inc.), Securities Purchase Agreement (Establishment Labs Holdings Inc.)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) of the Securities Act for the exemption from registration for the transactions contemplated hereby or would require registration of the Purchased Shares under the Securities Act.

Appears in 3 contracts

Samples: Share Purchase Agreement (Swift Energy Co), Share Purchase Agreement (Strategic Value Partners, LLC), Share Purchase Agreement (Columbus McKinnon Corp)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) Regulation D for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities Act.

Appears in 3 contracts

Samples: Purchase Agreement (H/Cell Energy Corp), Purchase Agreement (H/Cell Energy Corp), Purchase Agreement (Blacksands Petroleum, Inc.)

No Integrated Offering. Neither the Company Company, nor any of its Affiliatesaffiliates, nor any Person person acting on its or their behalf hasbehalf, has directly or indirectly, indirectly made any offers or sales of any Company security or solicited any offers to buy any security, security under circumstances that would adversely affect reliance by prevent the Company on Section 4(a)(2) for the exemption parties hereto from registration for consummating the transactions contemplated hereby or would require pursuant to an exemption from registration of the Shares under the Securities Act.Act pursuant to the provisions of Regulation D. 4.16

Appears in 3 contracts

Samples: Medcare Technologies Inc, Medcare Technologies Inc, Medcare Technologies Inc

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities 1933 Act.

Appears in 2 contracts

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

No Integrated Offering. Neither the Company Company, nor any of its Affiliatesaffiliates, nor any Person person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Convertible Notes, the Warrants, the Warrant Shares or the Conversion Shares under the Securities Act or cause this offering of the Convertible Notes, the Warrants, the Warrant Shares or the Conversion Shares to be integrated with prior offerings by the Company for purposes of the Securities Act.

Appears in 2 contracts

Samples: Securities Purchase Agreement (UFood Restaurant Group, Inc.), Securities Purchase Agreement (George Foreman Enterprises Inc)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) and Regulation D for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities 1933 Act.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Satsuma Pharmaceuticals, Inc.), Stock Purchase Agreement (Vaccinex, Inc.)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares offer or sale of the Securities to the Investors under the Securities 1933 Act.

Appears in 2 contracts

Samples: Purchase Agreement (Power Solutions International, Inc.), Purchase Agreement (Power Solutions International, Inc.)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Securities under the Securities Act.

Appears in 2 contracts

Samples: Exchange Agreement, Exchange Agreement (Turtle Beach Corp)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person person or entity acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the First Closing Shares or the Second Closing Shares under the Securities Act.

Appears in 2 contracts

Samples: Stock Purchase Agreement (Basin Water, Inc.), Stock Purchase Agreement (Empire Water CORP)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Closing Securities under the Securities 1933 Act.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Innovate Biopharmaceuticals, Inc.), Securities Purchase Agreement (Aileron Therapeutics Inc)

No Integrated Offering. Neither the Company nor any of its Affiliates, subsidiaries nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) and Regulation D for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities 1933 Act.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Translate Bio, Inc.), Securities Purchase Agreement (Translate Bio, Inc.)

No Integrated Offering. Neither the Company nor any of its Affiliates, Subsidiary nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Securities under the Securities 1933 Act.

Appears in 2 contracts

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

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) of the Securities Act for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities Act.

Appears in 2 contracts

Samples: Common Stock Purchase Agreement (G42 Investments AI Holdings RSC Ltd.), Common Stock Purchase Agreement (vTv Therapeutics Inc.)

No Integrated Offering. Neither the Company Company, Parent nor any of its their respective Affiliates, nor any Person acting on its or any of their behalf has, directly or indirectly, made any offers or sales of any Company or Parent security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company and Parent on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Securities under the Securities Act.

Appears in 2 contracts

Samples: Investment and Transaction Agreement (Id Systems Inc), Investment and Transaction Agreement (Pointer Telocation LTD)

No Integrated Offering. Neither the Company Company, nor any of its Affiliatesaffiliates, nor any Person person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, other than pursuant to this Agreement, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Common Stock under the Securities Act.. SECTION 5

Appears in 2 contracts

Samples: Investment and Representation (iGenii, Inc.), Investment and Representation (iGenii, Inc.)

No Integrated Offering. Neither the Company nor any of its Affiliates, subsidiaries nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) and Regulation D for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Placement Securities under the Securities 1933 Act.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Karyopharm Therapeutics Inc.), Securities Purchase Agreement (Solid Biosciences Inc.)

No Integrated Offering. Neither the Company nor any of its Affiliates, subsidiaries nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) and Regulation D for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Securities under the Securities 1933 Act.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Neogenomics Inc), Securities Purchase Agreement (Syros Pharmaceuticals, Inc.)

No Integrated Offering. Neither the Company nor any of its Affiliates, subsidiary nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) and Regulation D for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities 1933 Act.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Fulcrum Therapeutics, Inc.), Securities Purchase Agreement (Constellation Pharmaceuticals Inc)

No Integrated Offering. Neither of the Company Company, nor any of its Affiliates, affiliates nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for of the exemption from registration for the transactions contemplated hereby Securities Act or would require registration of any of the Shares under the Securities Act or cause this offering of the Shares to be integrated with prior offerings by the Company for purposes of the Securities Act.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Caladrius Biosciences, Inc.), Of Securities Purchase Agreement (Caladrius Biosciences, Inc.)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, including, without limitation, the Convertible Notes, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Securities under the Securities 1933 Act.

Appears in 2 contracts

Samples: Form of Preferred Stock and Warrant Purchase Agreement (Visualant Inc), Form of Purchase Agreement (Visualant Inc)

No Integrated Offering. Neither the Company nor any of its Affiliates, affiliates nor any Person person acting on its or their behalf has, directly or indirectly, at any time since June 1, 1999, made any offers offer or sales of any Company security or solicited any offers to buy any security, security under circumstances that would adversely affect reliance by eliminate the Company on Section 4(a)(2) for availability of the exemption from registration for under Section 4(2) of the transactions contemplated hereby or would require registration Securities Act in connection with the offer and sale of the Shares under the Securities Actas contemplated hereby.

Appears in 2 contracts

Samples: Common Stock Purchase Agreement (Eurotech LTD), Common Stock Purchase Agreement (Eurotech LTD)

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No Integrated Offering. Neither the Company nor any of its Affiliatesaffiliates, nor any Person person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Notes, the Warrants, the Conversion Shares, the Payment Shares or the Warrant Shares under the Securities Act.

Appears in 2 contracts

Samples: Convertible Secured Note Purchase Agreement (Photogen Technologies Inc), Convertible Secured Note Purchase Agreement (Alliance Pharmaceutical Corp)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person person or entity acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) of the Securities Act for the exemption from registration for the transactions contemplated hereby or would require registration of the Common Shares under the Securities Act.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Solexa, Inc.), Securities Purchase Agreement (Illumina Inc)

No Integrated Offering. Neither of the Company nor any of its Affiliates, nor or any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Regulation D, Regulation S or Section 4(a)(2) for of the exemption from registration for the transactions contemplated hereby Securities Act or would require registration of any of the Shares under the Securities Act or cause this offering of the Shares to be integrated with prior offerings by the Company for purposes of the Securities Act.

Appears in 2 contracts

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

No Integrated Offering. Neither the Company Company, nor any of its Affiliatesaffiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance cause this offering of the Shares to be integrated with prior offerings by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration purposes of the Shares Securities Act or any applicable shareholder approval provisions, including, without limitation, under the Securities Actrules and regulations of any exchange or automated quotation system on which any of the securities of the Company are listed or designated.

Appears in 2 contracts

Samples: Exhibit 1.1 Common Stock Purchase Agreement (Diasys Corp), Common Stock Purchase Agreement (Us Dataworks Inc)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Placement Securities under the Securities 1933 Act.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Prelude Therapeutics Inc), Securities Purchase Agreement (Baker Bros. Advisors Lp)

No Integrated Offering. Neither None of the Company nor Company, any of its Affiliates, nor affiliates or any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) for of the exemption from registration for the transactions contemplated hereby Securities Act or would require registration of any of the Shares Warrants under the Securities ActAct or cause this offering of the Warrants to be integrated with prior offerings by the Company for purposes of the Securities Act or any applicable stockholder approval provisions, including under the rules and regulations of the Principal Market.

Appears in 2 contracts

Samples: Warrant Purchase Agreement (Corcept Therapeutics Inc), Warrant Purchase Agreement (Corcept Therapeutics Inc)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) of the Securities Act for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Securities under the Securities Act.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Hansen Medical Inc), Securities Purchase Agreement (Feinberg Larry N)

No Integrated Offering. Neither None of the Company nor Company, the Seller or any of its their respective Affiliates, nor any Person acting on its or their behalf of any them has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) of the Securities Act for the exemption from registration for the transactions contemplated hereby or would require registration of the Purchased Shares under the Securities Act.

Appears in 2 contracts

Samples: Share Purchase Agreement (TPG Group Holdings (SBS) Advisors, Inc.), Share Purchase Agreement (Atlas Holdings, Inc.)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) for the exemption from registration for the transactions contemplated hereby hereby, or would require registration of the Shares Securities under the Securities 1933 Act, or would require a Shareholder vote under applicable Nasdaq rules.

Appears in 2 contracts

Samples: Purchase Agreement (Insci Statements Com Corp), 4.01 Purchase Agreement (Insci Statements Com Corp)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Securities under the Securities Act1933 Xxx.

Appears in 2 contracts

Samples: Purchase Agreement (Interleukin Genetics Inc), Purchase Agreement (Interleukin Genetics Inc)

No Integrated Offering. Neither Except as otherwise permitted in this Agreement, none of the Company nor Company, its Subsidiaries or any of its Affiliatestheir Affiliates (as defined below) or, nor to the Knowledge of the Company, any Person acting on its or their behalf behalf, has, directly or indirectly, made any offers offer or sales sale of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the issuance of any of the Purchase Shares under the Securities Act, whether through integration with prior offerings or otherwise.

Appears in 2 contracts

Samples: Share Purchase Agreement (Camtek LTD), Share Purchase Agreement (Camtek LTD)

No Integrated Offering. Neither the Company nor any of its ---------------------- Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Securities under the Securities Act0000 Xxx.

Appears in 2 contracts

Samples: Purchase Agreement (Sheffield Pharmaceuticals Inc), Purchase Agreement (Cambridge Heart Inc)

No Integrated Offering. Neither the Company nor any of its Affiliatesnor, nor to the Company’s knowledge, any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) under the Securities Act for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities Act.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Pulse Biosciences, Inc.), Securities Purchase Agreement (Pulse Biosciences, Inc.)

No Integrated Offering. Neither the Company nor any of its AffiliatesCompany, nor any Person affiliate of the Company, nor, to the Company’s knowledge any person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance cause this offering of the Shares to be integrated with prior offerings by the Company on Section 4(a)(2) for in such a manner that would subject this offering to the exemption from registration for the transactions contemplated hereby or would require registration requirements of the Shares under section 5 of the Securities Act.

Appears in 2 contracts

Samples: Securities Purchase Agreement (CTD Holdings Inc), Securities Purchase Agreement (CTD Holdings Inc)

No Integrated Offering. Neither of the Company nor any of its Affiliates, nor or any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for of the exemption from registration for the transactions contemplated hereby Securities Act or would require registration of any of the Shares Securities under the Securities Act or cause this offering of the Securities to be integrated with prior offerings by the Company for purposes of the Securities Act.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Bellerophon Therapeutics, Inc.), Securities Purchase Agreement (Ardelyx, Inc.)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) and Regulation D for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities Acthereby.

Appears in 2 contracts

Samples: Stock Purchase Agreement (Vaccinex, Inc.), Stock Purchase Agreement (Vaccinex, Inc.)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, security under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Securities under the Securities 1933 Act.

Appears in 2 contracts

Samples: Preferred Stock and Warrant Purchase Agreement (Visualant Inc), Preferred Stock and Warrant Purchase Agreement (Visualant Inc)

No Integrated Offering. Neither the Company nor any of its Affiliates, subsidiaries nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) and Regulation D for the exemption from registration for the transactions transaction contemplated hereby or would require registration of the Shares Purchased Stock under the Securities Act.

Appears in 1 contract

Samples: Preferred Stock Purchase Agreement (Lexicon Pharmaceuticals, Inc.)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Company Securities under the Securities 1933 Act.

Appears in 1 contract

Samples: Debenture and Warrant Purchase Agreement (Incara Inc)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Securities under the Securities 1933 Act.

Appears in 1 contract

Samples: Securities Purchase Agreement (Medgenics, Inc.)

No Integrated Offering. Neither of the Company nor any of its Affiliates, nor or any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any securityCompany security (as defined in the Securities Act), under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for of the exemption from registration for the transactions contemplated hereby Securities Act or would require registration of any of the Shares under the Securities Act or cause this offering of the Shares to be integrated with prior offerings by the Company for purposes of the Securities Act.

Appears in 1 contract

Samples: Stock Purchase Agreement (Gritstone Oncology, Inc.)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor nor, to the Company's knowledge, any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any security of the Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) of the Securities Act for the exemption from the registration requirements imposed under Section 5 of the Securities Act for the transactions contemplated hereby or that would require such registration of the Shares under the Securities Act.

Appears in 1 contract

Samples: Subscription Agreement (Best Energy Services, Inc.)

No Integrated Offering. Neither the Company nor any of its Affiliatesaffiliates, nor any Person person or entity acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Securities under the Securities Act.

Appears in 1 contract

Samples: Securities Purchase Agreement (Allos Therapeutics Inc)

No Integrated Offering. Neither the Company nor any of its AffiliatesCompany, nor to the knowledge of the Company, any Person person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities Act.

Appears in 1 contract

Samples: Common Stock Purchase Agreement (Taronis Fuels, Inc.)

No Integrated Offering. Neither the Company Company, nor any of its Affiliatesaffiliates, nor to its knowledge any Person person acting on its or their behalf (other than the Investors, as to whom the Company makes no representation) has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities Act.

Appears in 1 contract

Samples: Common Stock Investment Agreement (Vion Pharmaceuticals Inc)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, security under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Securities under the Securities Act0000 Xxx.

Appears in 1 contract

Samples: Preferred Stock and Warrant Purchase Agreement (Visualant Inc)

No Integrated Offering. Neither the Company nor its subsidiaries nor any of its Affiliates, nor any Person acting on its or their behalf Affiliates has, directly or indirectly, made made, or will make, any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) and Rule 506(b) of Regulation D thereunder for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities Act0000 Xxx.

Appears in 1 contract

Samples: Securities Purchase Agreement (Fusion Pharmaceuticals Inc.)

No Integrated Offering. Neither the Company Acquiror nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company Acquiror security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company Acquiror on Section 4(a)(24(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Securities under the Securities Act.

Appears in 1 contract

Samples: Agreement and Plan of Merger (Glu Mobile Inc)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Notes under the Securities Act.

Appears in 1 contract

Samples: Senior Convertible Promissory Note Purchase Agreement (Alliance Pharmaceutical Corp)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities 1933 Act.

Appears in 1 contract

Samples: Purchase Agreement (Kupper Parker Communications Inc)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Securities under the Securities 1933 Act.. EXHIBIT 6

Appears in 1 contract

Samples: Exchange Agreement (Amerigon Inc)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, at any time within the past six months, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities Act.

Appears in 1 contract

Samples: Warrant and Common Stock Purchase Agreement (Enova Systems Inc)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any Company security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Units under the Securities 1933 Act.

Appears in 1 contract

Samples: Securities Purchase Agreement (Inseego Corp.)

No Integrated Offering. Neither the Company nor Company, nor, to its knowledge, any of its Affiliates, nor any Person affiliates or other person acting on its or their the Company’s behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, security under circumstances that would adversely affect reliance cause the Offering of the Securities to be integrated with prior offerings by the Company on Section 4(a)(2) for the exemption from registration for the transactions contemplated hereby or would require registration purposes of the Shares under Securities Act, when integration would cause the Offering not to be exempt from the registration requirements of Section 5 of the Securities Act.

Appears in 1 contract

Samples: Securities Purchase Agreement (Lumera Corp)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) or Rule 506 of Regulation D for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares under the Securities 1933 Act.

Appears in 1 contract

Samples: Purchase Agreement (Response Genetics Inc)

No Integrated Offering. Neither the Company Company, nor any of its Affiliatesaffiliates, nor to its knowledge any Person person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2(i) for the exemption from registration for the transactions contemplated hereby or would require registration of the Notes or the Common Shares under the Securities Act; and (ii) would be integrated with the offering of the Notes under either the Act or the Rules of any Approved Market limiting the amount of capital stock that may be issued without stockholder approval.

Appears in 1 contract

Samples: Convertible Note Investment Agreement (Sunshine Mining & Refining Co)

No Integrated Offering. Neither of the Company nor any of its Affiliates, nor or any Person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any securitysecurity of the Company or any of its Subsidiaries, under circumstances that would adversely affect reliance by the Company on Section 4(a)(2) for of the exemption from registration for the transactions contemplated hereby Securities Act or would require registration of any of the Shares under the Securities Act or cause this offering of the Shares to be integrated with prior offerings by the Company or any Person acting on its behalf for purposes of the Securities Act.

Appears in 1 contract

Samples: Securities Purchase Agreement (Codexis, Inc.)

No Integrated Offering. Neither the Company nor any of its Affiliatesaffiliates, nor any Person person acting on its or their behalf has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) for the exemption from registration for the transactions contemplated hereby or would require registration of the Warrant Shares under the Securities 1933 Act.

Appears in 1 contract

Samples: Secured Note Purchase Agreement (Alliance Pharmaceutical Corp)

No Integrated Offering. Neither the Company nor any of its Affiliates, nor any Person acting on its or their behalf (including the Placement Agent) has, directly or indirectly, made any offers or sales of any Company security or solicited any offers to buy any security, under circumstances that would adversely affect reliance by the Company on Section 4(a)(24(2) of the Securities Act for the exemption from registration for the transactions contemplated hereby or would require registration of the Shares Securities under the Securities Act.

Appears in 1 contract

Samples: Securities Purchase Agreement (Amarin Corp Plc\uk)

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