Common use of Offering of Securities Clause in Contracts

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares to Treasury pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 55 contracts

Samples: Securities Purchase Agreement, Securities Purchase Agreement (Origin Bancorp, Inc.), Assignment and Assumption Agreement (Veritex Holdings, Inc.)

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Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Purchased Securities under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares Purchased Securities to Treasury Investor pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 41 contracts

Samples: Securities Purchase Agreement, Securities Purchase Agreement, Securities Purchase Agreement (Salisbury Bancorp Inc)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Warrants under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares Warrants to Treasury pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 37 contracts

Samples: Warrant Agreement (Hawaiian Holdings Inc), Warrant Agreement (American Airlines, Inc.), Warrant Agreement (Skywest Inc)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Purchased Securities under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares Purchased Securities to Treasury Investor pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 34 contracts

Samples: Letter Agreement, Securities Purchase Agreement, Securities Purchase Agreement

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Purchased Securities or the Warrant Securities under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares Purchased Securities or the Warrant Securities to Treasury Investor pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 15 contracts

Samples: Securities Purchase Agreement, Securities Purchase Agreement, Securities Purchase Agreement

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Capital Securities under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares Capital Securities to Treasury the Investor pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 15 contracts

Samples: Exchange Agreement, Exchange Agreement (Hampton Roads Bankshares Inc), Exchange Agreement (Hampton Roads Bankshares Inc)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Exchange Shares under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Exchange Shares to Treasury the Investor pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 14 contracts

Samples: Exchange Agreement, Exchange Agreement, Exchange Agreement (First Bancorp /Nc/)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Exchange Shares under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Exchange Shares to Treasury the Investor pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 10 contracts

Samples: Exchange Agreement, Exchange Agreement, Securities Purchase Agreement

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including including, any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Securities to be issued pursuant to this Agreement or any other Transaction Document under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), ) which might would subject the offering, issuance issuance, or sale of any of the Preferred Shares such Securities to Treasury pursuant to this Agreement be issued to the registration requirements of the Securities Act.

Appears in 10 contracts

Samples: Securities Purchase Agreement (Brown Bernard A), Securities Purchase Agreement (Sun Bancorp Inc /Nj/), Securities Purchase Agreement (Sun Bancorp Inc /Nj/)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares to Treasury Investor pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 9 contracts

Samples: Letter Agreement, Letter Agreement (Citizens Bancshares Corp /Ga/), Securities Purchase Agreement

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including including, any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Common Stock to be issued pursuant to this Agreement or any other Transaction Document under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), ) which might would subject the offering, issuance issuance, or sale of any of the Preferred Shares such Common Stock to Treasury pursuant to this Agreement be issued to the registration requirements of the Securities Act.

Appears in 8 contracts

Samples: Securities Purchase Agreement (Cascade Bancorp), Registration Rights Agreement (Cascade Bancorp), Registration Rights Agreement (Cascade Bancorp)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Exchange Shares under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), which might would reasonably be expected to subject the offering, issuance or sale of any of the Preferred Exchange Shares to Treasury the Investor pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 8 contracts

Samples: Exchange Agreement (Bridgewater Bancshares Inc), Exchange Agreement (Bridgewater Bancshares Inc), Exchange Agreement (Bridgewater Bancshares Inc)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Senior Securities under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares Senior Securities to Treasury pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 6 contracts

Samples: Securities Purchase Agreement (Live Oak Bancshares, Inc.), Securities Purchase Agreement (Live Oak Bancshares, Inc.), Securities Purchase Agreement

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including including, any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Common Shares to be issued pursuant to this Agreement or any other Transaction Document under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), ) which might would subject the offering, issuance issuance, or sale of any of the Preferred such Common Shares to Treasury pursuant to this Agreement be issued to the registration requirements of the Securities Act.

Appears in 6 contracts

Samples: Securities Purchase Agreement (Focus Media Holding LTD), Securities Purchase Agreement (Visionchina Media Inc.), Securities Purchase Agreement (Focus Media Holding LTD)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred New Shares under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), which might would reasonably be expected to subject the offering, issuance or sale of any of the Preferred New Shares to Treasury the Investor pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 6 contracts

Samples: Securities Purchase Agreement (Blue Ridge Bankshares, Inc.), Exchange Agreement (Blue Ridge Bankshares, Inc.), Exchange Agreement (Pathfinder Bancorp, Inc.)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Securities to be issued pursuant to this Agreement under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), ) which might subject the offering, issuance or sale of any of the Preferred Shares Securities to Treasury Purchaser pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 6 contracts

Samples: Investment Agreement (DBD Cayman, Ltd.), Investment Agreement (Boston Private Financial Holdings Inc), Investment Agreement (Pab Bankshares Inc)

Offering of Securities. (i) Neither the Company nor any person Person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares to be issued pursuant to this Agreement under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), ) which might would subject the offering, issuance or sale of any of the Preferred Shares to Treasury be issued pursuant to this Agreement to be subject to the registration requirements of the Securities Act.

Appears in 5 contracts

Samples: Stock Purchase Agreement (Broadway Financial Corp \De\), Stock Purchase Agreement (Broadway Financial Corp \De\), Stock Purchase Agreement (Broadway Financial Corp \De\)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the CDCI Preferred Shares under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”) promulgated thereunder), which might subject the offering, issuance or sale of any acquisition of the CDCI Preferred Shares to Treasury the Investor pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 4 contracts

Samples: Exchange Agreement, Exchange Agreement, Exchange Agreement

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including including, any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Securities to be issued pursuant to this Agreement or any other Transaction Document under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), ) which might subject the offering, issuance or sale of any of the Preferred Shares to Treasury pursuant to this Agreement such Securities to the registration requirements of the Securities Act.

Appears in 4 contracts

Samples: Investment Agreement (Sterling Financial Corp /Wa/), Investment Agreement (Sterling Financial Corp /Wa/), Investment Agreement (Sterling Financial Corp /Wa/)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Series F Preferred Shares Stock or the Warrant under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), which might subject the offering, offering or issuance or sale of any of the Series F Preferred Shares Stock or the Warrant to Treasury the Investor pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 4 contracts

Samples: Securities Purchase Agreement, Securities Purchase Agreement, Securities Purchase Agreement

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Senior Subordinated Securities under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares Senior Subordinated Securities to Treasury Investor pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 3 contracts

Samples: Letter Agreement, Securities Purchase Agreement, Securities Purchase Agreement

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) promulgated thereunder), which might subject the offering, issuance issuance, or sale of any of the Preferred Purchased Shares to Treasury pursuant to this Agreement be issued to the registration requirements of the Securities Act.

Appears in 3 contracts

Samples: Investor Rights Agreement (Singapore Technologies Telemedia Pte LTD), Share Purchase Agreement (CyrusOne Inc.), Share Purchase Agreement (GDS Holdings LTD)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Warrants under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares Warrants to Treasury pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 3 contracts

Samples: Warrant Agreement (Frontier Group Holdings, Inc.), Warrant Agreement (Frontier Group Holdings, Inc.), Warrant Agreement (Frontier Group Holdings, Inc.)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares CDCI Senior Subordinated Securities under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares CDCI Senior Subordinated Securities to Treasury the Investor pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 3 contracts

Samples: Exchange Agreement, Exchange Agreement, Exchange Agreement

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Exchange Securities under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares Exchange Securities to Treasury the Investor pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 3 contracts

Samples: Exchange Agreement, Exchange Agreement, Exchange Agreement (Citigroup Inc)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company Company) under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares pursuant to this Agreement under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares to Treasury pursuant to this Agreement the Purchasers to the registration requirements of the Securities Act.

Appears in 2 contracts

Samples: Share Purchase Agreement (Biolife Solutions Inc), Share Purchase Agreement (Biolife Solutions Inc)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Series E Preferred Shares Stock under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), which might subject the offering, offering or issuance or sale of any of the Series E Preferred Shares Stock to Treasury the Investor pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 2 contracts

Samples: Securities Exchange Agreement, Securities Exchange Agreement (American International Group Inc)

Offering of Securities. Neither the Company Company, nor any of its Affiliates, nor any person acting on its behalf has has, directly or indirectly, taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Securities to be issued pursuant to this Agreement under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), ) which might subject the offering, issuance or sale of any of the Preferred Shares Securities to Treasury Purchaser pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 2 contracts

Samples: Investment Agreement (T-Viii Pubopps Lp), Investment Agreement (TriState Capital Holdings, Inc.)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Warrants or the Common Stock or the Preferred Shares Stock issuable upon exercise of the Warrants under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), ) which might would subject the offering, issuance or sale of any of the Warrants or the Common Stock or Preferred Shares to Treasury pursuant to this Agreement Stock issuable upon exercise of the Warrants to the registration requirements of the Securities Act.

Appears in 2 contracts

Samples: Funding Agreement (Hilltop Holdings Inc.), Funding Agreement (SWS Group Inc)

Offering of Securities. Neither the Parent, the Seller, the Company nor any person Person acting on its their behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares to Treasury the Purchaser pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 2 contracts

Samples: Share Purchase Agreement (AerCap Holdings N.V.), Share Purchase Agreement (American International Group Inc)

Offering of Securities. Neither the Company Purchaser nor any person Person acting on its behalf has taken any action (including any offering of any securities of the Company Purchaser under circumstances which would require the integration of such offering with the offering of any of the Preferred Purchaser Shares to be issued pursuant to this Agreement (if any) under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) promulgated thereunder), which that might subject the offering, issuance or sale of any of the Preferred Purchaser Shares to Treasury Seller pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 2 contracts

Samples: Stock Purchase Agreement, Stock Purchase Agreement (PNC Financial Services Group Inc)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares to be issued pursuant to this Agreement under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”SEC thereunder) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares to Treasury the Purchasers pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Washington Mutual, Inc), Securities Purchase Agreement (Washington Mutual, Inc)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Exchange Interim Securities and the Warrant under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Exchange Interim Securities, the Exchange Common Shares, the Warrant and the Warrant Shares to Treasury the Investor pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 2 contracts

Samples: Exchange Agreement (Citigroup Inc), Exchange Agreement (Citigroup Inc)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any issuance of the Series A Preferred Shares under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), which might would reasonably be expected to subject the offering, issuance or sale of any of the Series A Preferred Shares to Treasury the Investor pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 2 contracts

Samples: Exchange Agreement (Hanover Bancorp, Inc. /NY), Exchange Agreement (Hanover Bancorp, Inc. /NY)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including including, any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Securities to be issued pursuant to this Agreement under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”SEC thereunder) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares to Treasury pursuant to this Agreement such Securities to the registration requirements of the Securities Act.

Appears in 2 contracts

Samples: Investment Agreement (Mbia Inc), Investment Agreement (Mbia Inc)

Offering of Securities. Neither the Company Corporation nor any person acting on its behalf has taken any action (including including, any offering of any securities of the Company Corporation under circumstances which would require the integration of such offering with the offering of any of the Securities to be issued pursuant to this Agreement or the Series B Preferred Shares Stock Articles of Amendment under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), ) which might would subject the offering, issuance issuance, or sale of any of the Preferred Shares such Securities to Treasury pursuant to this Agreement be issued to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Investment Agreement (BNC Bancorp)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Exchange Shares under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), which might would reasonably be expected to subject the offering, issuance or sale of any of the Preferred Exchange Shares to Treasury the Investor pursuant to this Agreement to the registration requirements of the Securities Act.. 

Appears in 1 contract

Samples: Exchange Agreement (Guaranty Bancorp)

Offering of Securities. Neither the Company nor any person Person acting on its behalf has taken or will take any action (including including, without limitation, any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Purchased Securities under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”SEC thereunder) promulgated thereunder), which might would subject the offering, issuance or sale of any of the Preferred Shares to Treasury pursuant to this Agreement Purchased Securities to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Investment Agreement (First Marblehead Corp)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Securities to be issued pursuant to this Agreement under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), ) which might subject the offering, issuance or sale of any of the Preferred Shares Securities to Treasury the Purchasers pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Investment Agreement (FGL Holdings)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Securities to be issued pursuant to this Agreement under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”SEC thereunder) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares Securities to Treasury the Investor pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Investment Agreement (Gottschalks Inc)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Purchased Securities under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the "SEC”) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares Purchased Securities to Treasury Investor pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Letter Agreement (Customers Bancorp, Inc.)

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Offering of Securities. Neither the Company nor any person Person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares to be issued pursuant to this Agreement under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”SEC thereunder) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares to Treasury the Purchasers pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Series a Preferred Stock Purchase Agreement (TRC Companies Inc /De/)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including including, any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Securities to be issued pursuant to this Agreement under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), ) which might would subject the offering, issuance or sale of any of the Preferred Purchased Shares to Treasury pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Investment Agreement (Intervest Bancshares Corp)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Securities to be issued pursuant to this Agreement under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), ) which might subject the offering, issuance or sale of any of the Preferred Shares Securities to Treasury the Investor pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Investment Agreement (Wintrust Financial Corp)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Securities to be issued pursuant to this Agreement under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”SEC thereunder) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares Securities to Treasury the Investors pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Investment Agreement (Washington Mutual, Inc)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including including, any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Securities to be issued pursuant to this Agreement or any other Transaction Document under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), ) which might would subject the offering, issuance or sale of any of the Preferred Shares to Treasury pursuant to this Agreement such Securities to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Investment Agreement (Webster Financial Corp)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares EQ2 Securities under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares EQ2 Securities to Treasury pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Securities Purchase Agreement

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Exchange Shares under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), which might would subject the offering, issuance or sale of any transfer of the Preferred Exchange Shares to Treasury the Investor pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Exchange Agreement (Alliance Data Systems Corp)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Securities to be issued pursuant to this Agreement under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares Securities to Treasury Purchaser pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Investment Agreement (National City Corp)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Securities to be issued pursuant to this Agreement under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), ) which might subject the offering, issuance or sale of any of the Preferred Shares Securities to Treasury the Anchor Investors pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Investment Agreement (United Western Bancorp Inc)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including including, any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares securities to be issued pursuant to this Agreement or any of the Additional Agreements under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) promulgated thereunder), which might would subject the offering, issuance issuance, or sale of any of the Preferred Shares securities to Treasury pursuant to be issued under this Agreement or any of the Additional Agreements to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Investment Agreement (Ally Financial Inc.)

Offering of Securities. Neither the Company nor any person Person acting on its the Company's behalf has taken or will take any action (including including, without limitation, any offering of any securities of the Company under circumstances which would require require, under the Securities Act, the integration of such offering with the offering of any and sale of the Preferred Shares under Shares, the Securities ActWarrants, and the rules and regulations of the Securities and Exchange Commission (the “SEC”Conversion Shares) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares to Treasury pursuant to this Agreement to the registration requirements of Section 5 of the Securities Act.

Appears in 1 contract

Samples: Preferred Stock Purchase Agreement (Warburg Pincus Private Equity Viii L P)

Offering of Securities. Neither the Parent, the Seller, the Company nor any person Person acting on its their behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares or the Option Shares under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares or the Option Shares to Treasury the Purchaser pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Share Purchase Agreement (American International Group Inc)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Exchange Shares under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Exchange Shares to Treasury pursuant to Investor under this Agreement to the registration requirements of the Securities Act.. Section 3.09

Appears in 1 contract

Samples: 1 Exchange Agreement (First NBC Bank Holding Co)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Securities under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares Securities to Treasury the Investors pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Securities Purchase Agreement (Citigroup Inc)

Offering of Securities. Neither the Company nor any person acting on at its behalf direction has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Purchased Securities to be issued pursuant to this Agreement under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”SEC thereunder) promulgated thereunder), which might would subject the offering, issuance or sale of any of the Preferred Shares Purchased Securities to Treasury the Investors pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Investment Agreement (X Rite Inc)

Offering of Securities. Neither the Company nor any person acting on at its behalf direction has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Purchased Securities to be issued pursuant to this Agreement under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”SEC thereunder) promulgated thereunder), which might would subject the offering, issuance or sale of any of the Preferred Shares Purchased Securities to Treasury the Investor or the Institutional Investors pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Investment Agreement (X Rite Inc)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including including, any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares securities to be issued pursuant to this Agreement or any other Transaction Document under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), ) which might would subject the offering, issuance issuance, or sale of any of the Preferred Shares to Treasury pursuant to this Agreement such securities to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Registration Rights Agreement (First Mariner Bancorp)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares and Warrants to be issued pursuant to this Agreement under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”SEC thereunder) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares or Warrants to Treasury the Purchasers pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Securities Purchase Agreement (Washington Mutual, Inc)

Offering of Securities. Neither the Company Bank nor any person acting on its behalf has taken any action (including any offering of any securities of the Company Bank under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Senior Subordinated Securities under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares Senior Subordinated Securities to Treasury Investor pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Letter Agreement

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares TruPs Exchange Securities under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares TruPs Exchange Securities to Treasury the Investor pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Exchange Agreement (Citigroup Inc)

Offering of Securities. Neither the Company nor any person Person acting on its the Company's behalf has taken or will take any action (including including, without limitation, any offering of any securities of the Company under circumstances which would require require, under the Securities Act, the integration of such offering with the offering of any and sale of the Preferred Shares under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”Conversion Shares) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares to Treasury pursuant to this Agreement to the registration requirements of Section 5 of the Securities Act.

Appears in 1 contract

Samples: Preferred Stock Purchase Agreement (Warburg Pincus Private Equity Viii L P)

Offering of Securities. Neither Except pursuant to the Registration and Exchange Rights Agreement, neither the Company nor any person Person acting on its behalf has taken or will take any action (including including, without limitation, any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Securities under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”SEC thereunder) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares to Treasury pursuant to this Agreement Securities to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Securities Purchase Agreement (First Niagara Financial Group Inc)

Offering of Securities. Neither the Company nor any person Person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Securities to be issued pursuant to this Agreement under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”0000 Xxx) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares Securities to Treasury Buyer pursuant to this Agreement to the registration requirements of the Securities 1933 Act.

Appears in 1 contract

Samples: Investment Agreement (Enstar Group LTD)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) promulgated thereunder), which might subject the offering, UST Sequence No. 208 issuance or sale of any of the Preferred Shares to Treasury Investor pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Securities Purchase Agreement (Security Federal Corp)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Common Shares under the Securities Act, Act and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Common Shares to Treasury the Investor pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Exchange Agreement (Superior Bancorp)

Offering of Securities. Neither the Company nor any person Person acting ---------------------- on its the Company's behalf has taken or will take any action (including including, without limitation, any offering of any securities of the Company under circumstances which would require require, under the Securities Act, the integration of such offering with the offering of any and sale of the Preferred Shares under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”Conversion Shares) promulgated thereunder), which might subject the offering, issuance or sale of any of the Preferred Shares to Treasury pursuant to this Agreement to the registration requirements of Section 5 of the Securities Act.

Appears in 1 contract

Samples: Preferred Stock Purchase Agreement (Evolve Software Inc)

Offering of Securities. Neither the Company nor any person acting on its behalf has taken any action (including any offering of any securities of the Company under circumstances which would require the integration of such offering with the offering of any of the Preferred Shares Securities to be issued pursuant to this Agreement under the Securities Act, and the rules and regulations of the Securities and Exchange Commission (the “SEC”) SEC promulgated thereunder), ) which might subject the offering, issuance or sale of any of the Preferred Shares Securities to Treasury Purchaser pursuant to this Agreement to the registration requirements of the Securities Act.

Appears in 1 contract

Samples: Form of Subscription Agreement (United Community Banks Inc)

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