Common use of Pursuant to the Securities Act Clause in Contracts

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement on Form S-3 (File No. 333-230124), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act, which registration statement was prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement on file with the Commission at any given time, including any amendments thereto to such time, exhibits and schedules thereto at such time, documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and information otherwise deemed to be a part thereof or included therein pursuant to Rule 430B of the Securities Act Regulations (the “Rule 430B Information”) or otherwise pursuant to the Securities Act Regulations at such time, is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was declared effective by the Commission on March 29, 2019. The prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing of the final prospectus supplement referred to in the following paragraph is herein called a “Preliminary Prospectus.” Promptly after the execution and delivery of this Agreement, the Company will prepare and file with the Commission a final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with the Commission pursuant to Rule 424(b) under the Securities Act is herein called the “Prospectus.” Any reference herein to the Base Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under the Securities Act as of the date of such prospectus.

Appears in 4 contracts

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

AutoNDA by SimpleDocs

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 F-1 (File No. 333-230124333-[●]), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [●], 2022, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 4 contracts

Samples: Underwriting Agreement (Brera Holdings PLC), Underwriting Agreement (Boustead Wavefront Inc.), Underwriting Agreement (Boustead Wavefront Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124267657), including any related prospectus or prospectuses, for the registration of the Public Securities Shares under the Securities Act of 1933, as amended (the “Securities Act”). Except as the context may otherwise require, which such registration statement, as amended, on file with the Commission at the time the registration statement was prepared by became effective (including the Company Preliminary Prospectus included in the registration statement, financial statements, schedules, exhibits and all material respects in conformity with the requirements other documents filed as a part thereof and all information deemed to be a part thereof as of the Securities Act and Effective Date pursuant to paragraph (b) of Rule 430A of the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement on file with the Commission at any given time, including any amendments thereto to such time, exhibits and schedules thereto at such time, documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and information otherwise deemed to be a part thereof or included therein pursuant to Rule 430B of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [*], that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 4 contracts

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

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124333-________), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [*], 2023 that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 4 contracts

Samples: Underwriting Agreement (Zerospo), Underwriting Agreement (Zerospo), Underwriting Agreement (Zerospo)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124274879), including any related prospectus or prospectuses, which registration statement was declared effective on [●], 2023, for the registration of the Public Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was declared effective by the Commission on March 29, 2019. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [●], 2023, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriter for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 3 contracts

Samples: Underwriting Agreement (Applied UV, Inc.), Underwriting Agreement (Applied UV, Inc.), Underwriting Agreement (Applied UV, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement and any amendment thereto, on Form S-3 S-1 (File No. 333-230124264314), including any related preliminary prospectus or prospectuses(the “Preliminary Prospectus”, including any prospectus that is included in the registration statement immediately prior to the effectiveness of the registration statement), for the registration of the Public Securities Units under the Securities Act, which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act Act, and the rules and regulations (the “Regulations”) of the Commission under the Securities Act (Act. The conditions for use of Form S-1 to register the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with Offering under the Securities Act and Act, as set forth in the Securities Act RegulationsGeneral Instructions to such Form, have been satisfied. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective, including any amendments thereto to such timethe prospectus, financial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of such time pursuant to Rule 430B 430A of the Securities Act Regulations (Regulations, together with the “Rule 430B Information”) or otherwise pursuant to the Securities Act Regulations at such time, is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If registration statement filed by the Company files any registration statement pursuant to Rule 462(b) of under the Securities Act Regulationsregistering additional Public Securities, then after such filing, is hereinafter called the term “Registration Statement,shall include such registration statement and the form of the final prospectus dated the Effective Date included in the Registration Statement (or, if applicable, the form of final prospectus containing information permitted to be omitted at the time of effectiveness by Rule 430A of the Regulations, filed by the Company with the Commission pursuant to Rule 462(b424 of the Regulations), is hereinafter called the “Prospectus.” For purposes of this Agreement, “Applicable Time,” as used in the Securities Act, means [____] p.m. New York City time, on the date of this Agreement. Prior to the Applicable Time, the Company prepared a Preliminary Prospectus, which was included in the Registration Statement filed on [_______], 2022, for distribution by the Underwriters (such Preliminary Prospectus used most recently prior to the Applicable Time, the “Statutory Prospectus”). Other than the Registration Statement, together with any correspondence letters between the Company and/or counsel for the Company and the Commission, no other document with respect to the Registration Statement has been filed under the Securities Act with the Commission. All of the Public Securities have been or will be registered for public sale under the Securities Act pursuant to the Registration Statement. The Registration Statement was has been declared effective by the Commission on March 29the date hereof. If, 2019. The prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement subsequent to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing of the final prospectus supplement referred to in the following paragraph is herein called a “Preliminary Prospectus.” Promptly after the execution and delivery date of this Agreement, the Company will prepare and file with or the Commission Representative determines that, at the Applicable Time, the Statutory Prospectus included an untrue statement of a final prospectus supplement material fact or omitted a statement of material fact necessary to make the Base Prospectus relating to statements therein, in light of the Public Securities circumstances under which they were made, not misleading and the Offering in accordance with Company and the provisions of Rule 430B and Rule 424(b) Representative agree to provide an opportunity to purchasers of the Securities Act Regulations. Such final prospectus supplement (including Units to terminate their old purchase contracts and enter into new purchase contracts, then the Base Statutory Prospectus as so supplemented), in the form filed with the Commission pursuant to Rule 424(b) under the Securities Act is herein called the “Prospectus.” Any reference herein to the Base Prospectus, any Preliminary Prospectus or the Prospectus shall will be deemed to refer include any additional information available to and include purchasers at the documents incorporated by reference therein pursuant to Item 12 time of Form S-3 under entry into the Securities Act as of the date of first such prospectusnew purchase contract.

Appears in 3 contracts

Samples: Underwriting Agreement (EF Hutton Acquisition Corp I), Underwriting Agreement (EF Hutton Acquisition Corp I), Underwriting Agreement (EF Hutton Acquisition Corp I)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 F-1 (File No. 333-230124272476), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, exhibits schedules, exhibits, and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [•], that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 2 contracts

Samples: Underwriting Agreement (Pixie Dust Technologies, Inc.), Underwriting Agreement (Pixie Dust Technologies, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement on Form S-3 (File No. 333-230124251679), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act, which registration statement was prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement on file with the Commission at any given time, including any amendments thereto to such time, exhibits and schedules thereto at such time, documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and information otherwise deemed to be a part thereof or included therein pursuant to Rule 430B of the Securities Act Regulations (the “Rule 430B Information”) or otherwise pursuant to the Securities Act Regulations at such time, is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was declared effective by the Commission on March 29December 30, 20192020. The prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing of the final prospectus supplement referred to in the following paragraph is herein called a “Preliminary Prospectus.” Promptly after the execution and delivery of this Agreement, the Company will prepare and file with the Commission a final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with the Commission pursuant to Rule 424(b) under the Securities Act is herein called the “Prospectus.” Any reference herein to the Base Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under the Securities Act as of the date of such prospectus.

Appears in 2 contracts

Samples: Underwriting Agreement (My Size, Inc.), Underwriting Agreement (My Size, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124333-[*]), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [*], 2022, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 2 contracts

Samples: Underwriting Agreement (MGO Global Inc.), Underwriting Agreement (MGO Global Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124264321), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [*], that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 2 contracts

Samples: Underwriting Agreement (Actelis Networks Inc), Underwriting Agreement (Actelis Networks Inc)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124266423), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [●], 2022, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 2 contracts

Samples: Underwriting Agreement (Know Labs, Inc.), Underwriting Agreement (Know Labs, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement on Form S-3 (File No. 333-230124199274), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act, which registration statement was prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement on file with the Commission at any given time, including any amendments thereto to such time, exhibits and schedules thereto at such time, documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and information otherwise deemed to be a part thereof or included therein pursuant to Rule 430B of the Securities Act Regulations (the “Rule 430B Information”) or otherwise pursuant to the Securities Act Regulations at such time, is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was declared effective by the Commission on March 29October 23, 20192014. The prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing of the final prospectus supplement referred to in the following paragraph is herein called a “Preliminary Prospectus.” Promptly after the execution and delivery of this Agreement, the Company will prepare and file with the Commission a final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with the Commission pursuant to Rule 424(b) under the Securities Act is herein called the “Prospectus.” Any reference herein to the Base Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under the Securities Act as of the date of such prospectus.

Appears in 2 contracts

Samples: Underwriting Agreement (Heat Biologics, Inc.), Underwriting Agreement (Heat Biologics, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 F-1 (File No. 333-230124333- 267068), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representatives’ Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [●], 2023, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 2 contracts

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

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and any amendment or amendments thereto, on Form S-3 F-1 (File No. 333-230124333-[●]), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required ). The conditions for use of Form F-1 as set forth in the General Instructions to be stated therein in accordance with such Form F-1, to register Public Securities under the Securities Act and the Securities Act RegulationsAct, have been satisfied. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus (as defined below) included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [DATE], 2024, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriter for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 2 contracts

Samples: Underwriting Agreement (Trident Digital Tech Holdings Ltd.), Underwriting Agreement (Trident Digital Tech Holdings Ltd.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement on Form S-3 S-1 (File No. 333-230124)128748) a registration statement, including any related prospectus or prospectusesa prospectus, for relating to the registration of the Public Securities under the Securities ActOffering, which registration statement was has been prepared by the Company in all material respects in conformity with the requirements of the Securities Act Act, and the rules and regulations (“Regulations”) of the Commission under the Securities Act of 1933, as amended (the “Securities Act RegulationsAct). The registration statement as amended at the time it becomes effective, including the information (if any) and contains and will contain all material statements that are required deemed to be stated therein in accordance with part of the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement on file with at the Commission at any given time, including any amendments thereto to such time, exhibits and schedules thereto at such time, documents filed as a part thereof or incorporated time of effectiveness pursuant to Item 12 of Form S-3 Rule 430A under the Securities Act at such time and the documents and information otherwise deemed to be a part thereof or included therein pursuant to Rule 430B of the Securities Act Regulations (the “Rule 430B Information”) or otherwise pursuant to the Securities Act Regulations at such timeAct, is hereinafter referred to herein as the “Registration Statement.” The Registration Statement at ”; the prospectus in the form first filed with the Commission pursuant to and within the time it originally became effective limits described in Rule 424(b) is hereinafter referred to herein as the “Initial Registration StatementProspectus.” If the Company files any has filed an abbreviated registration statement to register additional Firm Units pursuant to Rule 462(b) of under the Securities Act Regulations(the “Rule 462 Registration Statement”), then after such filing, any reference herein to the term “Registration Statement” shall be deemed to include such registration statement filed pursuant Rule 462 Registration Statement. For purposes of this Agreement, “Time of Sale” means [ ] p.m., New York City time, on the date of this Agreement. Prior to Rule 462(b). The Registration Statement was declared effective the Time of Sale, the Company prepared a preliminary prospectus, dated February __, 2006, for distribution by the Commission on March 29, 2019. The prospectus in Underwriters (the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing of the final prospectus supplement referred to in the following paragraph is herein called a “Preliminary Prospectus.” Promptly after ”). If, subsequent to the execution and delivery date of this Agreement, the Company will prepare and file with or the Commission Representative has determined that the Preliminary Prospectus included an untrue statement of a final prospectus supplement material fact or omitted a statement of material fact necessary to make the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented)statements therein, in the form filed with light of the Commission pursuant circumstances under which they were made, not misleading and have agreed to Rule 424(b) under provide an opportunity to purchasers of the Securities Act is herein called Firm Units to terminate their old purchase contracts and enter into new purchase contracts, then the “Prospectus.” Any reference herein to the Base Prospectus, any Preliminary Prospectus or the Prospectus shall will be deemed to refer include any additional information available to and include purchasers at the documents incorporated by reference therein pursuant to Item 12 time of Form S-3 under entry into the Securities Act as of the date of first such prospectusnew purchase contract.

Appears in 2 contracts

Samples: Underwriting Agreement (Oracle Healthcare Acquisition Corp.), Underwriting Agreement (Oracle Healthcare Acquisition Corp.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement and any amendment thereto, on Form S-3 S-1 (File No. 333-230124[__]), including any related preliminary prospectus or prospectuses(the “Preliminary Prospectus”, including any prospectus that is included in the registration statement immediately prior to the effectiveness of the registration statement), for the registration of the Public Securities Units under the Securities Act, which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act Act, and the rules and regulations (the “Regulations”) of the Commission under the Securities Act (Act. The conditions for use of Form S-1 to register the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with Offering under the Securities Act and Act, as set forth in the Securities Act RegulationsGeneral Instructions to such Form, have been satisfied. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective, including any amendments thereto to such timethe prospectus, financial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of such time pursuant to Rule 430B 430A of the Securities Act Regulations (Regulations, together with the “Rule 430B Information”) or otherwise pursuant to the Securities Act Regulations at such time, is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If registration statement filed by the Company files any registration statement pursuant to Rule 462(b) of under the Securities Act Regulationsregistering additional Public Securities, then after such filing, is hereinafter called the term “Registration Statement,shall include such registration statement and the form of the final prospectus dated the Effective Date included in the Registration Statement (or, if applicable, the form of final prospectus containing information permitted to be omitted at the time of effectiveness by Rule 430A of the Regulations, filed by the Company with the Commission pursuant to Rule 462(b424 of the Regulations), is hereinafter called the “Prospectus.” For purposes of this Agreement, “Applicable Time,” as used in the Securities Act, means [5:00] p.m. New York City time, on the date of this Agreement. Prior to the Applicable Time, the Company prepared a Preliminary Prospectus, which was included in the Registration Statement filed on [__], 2022, for distribution by the Underwriters (such Preliminary Prospectus used most recently prior to the Applicable Time, the “Statutory Prospectus”). Other than the Registration Statement, together with any correspondence letters between the Company and/or counsel for the Company and the Commission, no other document with respect to the Registration Statement has been filed under the Securities Act with the Commission. All of the Public Securities have been or will be registered for public sale under the Securities Act pursuant to the Registration Statement. The Registration Statement was has been declared effective by the Commission on March 29the date hereof. If, 2019. The prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement subsequent to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing of the final prospectus supplement referred to in the following paragraph is herein called a “Preliminary Prospectus.” Promptly after the execution and delivery date of this Agreement, the Company will prepare and file with or the Commission Representative determines that, at the Applicable Time, the Statutory Prospectus included an untrue statement of a final prospectus supplement material fact or omitted a statement of material fact necessary to make the Base Prospectus relating to statements therein, in light of the Public Securities circumstances under which they were made, not misleading and the Offering in accordance with Company and the provisions of Rule 430B and Rule 424(b) Representative agree to provide an opportunity to purchasers of the Securities Act Regulations. Such final prospectus supplement (including Units to terminate their old purchase contracts and enter into new purchase contracts, then the Base Statutory Prospectus as so supplemented), in the form filed with the Commission pursuant to Rule 424(b) under the Securities Act is herein called the “Prospectus.” Any reference herein to the Base Prospectus, any Preliminary Prospectus or the Prospectus shall will be deemed to refer include any additional information available to and include purchasers at the documents incorporated by reference therein pursuant to Item 12 time of Form S-3 under entry into the Securities Act as of the date of first such prospectusnew purchase contract.

Appears in 2 contracts

Samples: Underwriting Agreement (Nubia Brand International Corp.), Underwriting Agreement (Nubia Brand International Corp.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124261984), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [*], that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 2 contracts

Samples: Underwriting Agreement (HeartCore Enterprises, Inc.), Underwriting Agreement (HeartCore Enterprises, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement on Form S-3 F-1 (File No. 333-230124[_________]), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement on file with the Commission at any given time, including any amendments thereto to such time, exhibits and schedules thereto at such time, documents filed as a part thereof or incorporated pursuant to Item 12 6 of Form S-3 F-3 under the Securities Act at such time and the documents and information otherwise deemed to be a part thereof or included therein pursuant to Paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time, is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was declared effective by the Commission on March 29the date hereof [______ ___, 20192022]. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430(A) Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [__*____, 2022], that was included in the execution and delivery of this Agreement, the Company will prepare and file with the Commission a final prospectus supplement Registration Statement immediately prior to the Base Applicable Time is hereinafter called the “Pricing Prospectus.” The final Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 2 contracts

Samples: Underwriting Agreement (Global Backbone Technology Ltd.), Underwriting Agreement (Beroni Group LTD)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement and any amendment thereto, on Form S-3 S-1 (File No. 333-230124271609), including any related preliminary prospectus or prospectuses(the “Preliminary Prospectus”, including any prospectus that is included in the registration statement immediately prior to the effectiveness of the registration statement), for the registration of the Public Securities Units under the Securities Act, which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act Act, and the rules and regulations (the “Regulations”) of the Commission under the Securities Act (Act. The conditions for use of Form S-1 to register the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with Offering under the Securities Act and Act, as set forth in the Securities Act RegulationsGeneral Instructions to such Form, have been satisfied. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective, including any amendments thereto to such timethe prospectus, financial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of such time pursuant to Rule 430B 430A of the Securities Act Regulations (the “Rule 430B Information”) or otherwise pursuant to the Securities Act Regulations at such timeRegulations, is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files together with any registration statement filed by the Company pursuant to Rule 462(b) of under the Securities Act Regulationsregistering additional Public Securities, then after such filing, is hereinafter called the term “Registration Statement,shall include such registration statement and the form of the final prospectus dated the Effective Date included in the Registration Statement (or, if applicable, the form of final prospectus containing information permitted to be omitted at the time of effectiveness by Rule 430A of the Regulations, filed by the Company with the Commission pursuant to Rule 462(b424 of the Regulations), is hereinafter called the “Prospectus.” For purposes of this Agreement, “Applicable Time,” as used in the Securities Act, means 5:30 p.m., New York City time, on the date of this Agreement. Prior to the Applicable Time, the Company prepared a Preliminary Prospectus, which was included in the Registration Statement filed on [•], 2023, for distribution by the Underwriters (such Preliminary Prospectus used most recently prior to the Applicable Time, the “Statutory Prospectus”). Other than the Registration Statement, together with any correspondence letters between the Company and/or counsel for the Company and the Commission, no other document with respect to the Registration Statement has been filed under the Securities Act with the Commission. All of the Public Securities have been or will be registered for public sale under the Securities Act pursuant to the Registration Statement. The Registration Statement was has been declared effective by the Commission on March 29the date hereof. If, 2019. The prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement subsequent to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing of the final prospectus supplement referred to in the following paragraph is herein called a “Preliminary Prospectus.” Promptly after the execution and delivery date of this Agreement, the Company will prepare and file with or the Commission Representative determines that, at the Applicable Time, the Statutory Prospectus included an untrue statement of a final prospectus supplement material fact or omitted a statement of material fact necessary to make the Base Prospectus relating to statements therein, in light of the Public Securities circumstances under which they were made, not misleading and the Offering in accordance with Company and the provisions of Rule 430B and Rule 424(b) Representative agree to provide an opportunity to purchasers of the Securities Act Regulations. Such final prospectus supplement (including Units to terminate their old purchase contracts and enter into new purchase contracts, then the Base Statutory Prospectus as so supplemented), in the form filed with the Commission pursuant to Rule 424(b) under the Securities Act is herein called the “Prospectus.” Any reference herein to the Base Prospectus, any Preliminary Prospectus or the Prospectus shall will be deemed to refer include any additional information available to and include purchasers at the documents incorporated by reference therein pursuant to Item 12 time of Form S-3 under entry into the Securities Act as of the date of first such prospectusnew purchase contract.

Appears in 2 contracts

Samples: Underwriting Agreement (Prospect Energy Holdings Corp.), Underwriting Agreement (Prospect Energy Holdings Corp.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement on Form S-3 (File No. 333-230124333- 228882), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act, which registration statement was prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement on file with the Commission at any given time, including any amendments thereto to such time, exhibits and schedules thereto at such time, documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and information otherwise deemed to be a part thereof or included therein pursuant to Rule 430B of the Securities Act Regulations (the “Rule 430B Information”) or otherwise pursuant to the Securities Act Regulations at such time, is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was declared effective by the Commission on March 29February 7, 2019. The prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing of the final prospectus supplement referred to in the following paragraph is herein called a “Preliminary Prospectus.” Promptly after the execution and delivery of this Agreement, the Company will prepare and file with the Commission a final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with the Commission pursuant to Rule 424(b) under the Securities Act is herein called the “Prospectus.” Any reference herein to the Base Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under the Securities Act as of the date of such prospectus.

Appears in 2 contracts

Samples: Underwriting Agreement (Sg Blocks, Inc.), Underwriting Agreement (Sg Blocks, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124), including any related prospectus or prospectuses, for the registration of the Public Securities and the Underwriter’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [•], 2016, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 2 contracts

Samples: Underwriting Agreement (Aytu Bioscience, Inc), Underwriting Agreement (Aytu Bioscience, Inc)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 (File No. 333-230124193019), including any related prospectus or prospectuseswhich registration statement was declared effective on February 3, 2014, for the registration of the Public Securities sale of certain securities of the Company, including the Securities, under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act promulgated thereunder (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations). Except as the context may otherwise require, such Such registration statement on file with the Commission at any given timestatement, including any amendments thereto to such timethe exhibits thereto, exhibits and schedules thereto as amended at such time, documents filed as a part thereof or incorporated pursuant to Item 12 the date of Form S-3 under the Securities Act at such time and the documents and information otherwise deemed to be a part thereof or included therein pursuant to Rule 430B of the Securities Act Regulations (the “Rule 430B Information”) or otherwise pursuant to the Securities Act Regulations at such timethis Agreement, is referred to herein as hereinafter called the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” ”. If the Company files any a registration statement with the Commission pursuant to Rule 462(b) of the Securities Act RegulationsRegulations relating to the Securities, then then, after such filing, any reference herein to the term “Registration Statement” Statement shall also be deemed to include such registration statement filed pursuant to Rule 462(b). The Registration Statement was declared effective by the Commission on March 29, 2019. The prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing of the final prospectus supplement referred to in the following paragraph is herein called a “Preliminary Prospectus.” Promptly after the After execution and delivery of this Agreement, the Company will prepare and file with the Commission a final prospectus supplement to the base prospectus included in the Registration Statement (the “Base Prospectus relating to the Public Securities and the Offering Prospectus”) in accordance with the provisions of Rule 430B (“Rule 430B”) and Rule 424(b) (“Rule 424(b)”) of the Securities Act Regulations. Such ; any information included in such prospectus supplement that was omitted from the Registration Statement at the time it became effective but that is deemed to be part of and included in the Registration Statement pursuant to Rule 430B is herein called the “Rule 430B Information”; the Base Prospectus, together with any prospectus supplement used in connection with the offering of the Securities that omitted Rule 430B Information, is hereinafter collectively called a “Preliminary Prospectus.” The Preliminary Prospectus, subject to completion, dated June 17, 2014, as amended and supplemented immediately prior to the Applicable Time, is hereinafter called the “Pricing Prospectus.” The Base Prospectus, together with the final prospectus supplement (including which includes the Base Prospectus as so supplemented)Rule 430B Information, in the form filed first furnished to the Underwriter for use in connection with the Commission pursuant to Rule 424(b) under offering and confirmation of the Securities Act sales of the Securities, is herein hereinafter collectively called the “Prospectus.” Any reference herein in this Agreement to the Registration Statement, the Base Prospectus, any a Preliminary Prospectus, the Pricing Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated or deemed incorporated by reference therein (the “Incorporated Documents”) pursuant to Item 12 of Form S-3 which were filed under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and the rules and regulations of the Commission promulgated thereunder (the “Exchange Act Regulations”), on or before the date of this Agreement, or the issue date of the Base Prospectus, the Preliminary Prospectus, the Pricing Prospectus or the Prospectus, as the case may be; and any reference in this Agreement to the terms “amend,” “amendment” or “supplement” with respect to the Registration Statement, the Base Prospectus, a Preliminary Prospectus, the Pricing Prospectus or the Prospectus shall be deemed to refer to and include the filing of any document under the Exchange Act after the date of this Agreement, or the issue date of the Base Prospectus, the Preliminary Prospectus, the Pricing Prospectus or the Prospectus, as the case may be, deemed to be incorporated therein by reference. All references in this Agreement to financial statements and schedules and any other information which is “contained, “included,” “described,” “referenced,” “set forth” or “stated” in the Registration Statement, the Base Prospectus, a Preliminary Prospectus, the Pricing Prospectus or the Prospectus (and all other references of like import) shall be deemed to mean and include all such prospectusfinancial statements and schedules and any other information which is or is deemed to be incorporated by reference in the Registration Statement, the Base Prospectus, a Preliminary Prospectus, the Pricing Prospectus or the Prospectus, as the case may be.

Appears in 2 contracts

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

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124255193), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act, which registration statement was prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except Act”).Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B of the Securities Act Regulations 430A (the “Rule 430B 430A Information”) or otherwise pursuant to of the the rules and regulations of the Commission promulgated thereunder (the “Securities Act Regulations at such timeRegulations”), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [●], 2021, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Underwriters for use in the Offering, that includes the Rule 424(b) under the Securities Act 430A Information, is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 2 contracts

Samples: Underwriting Agreement (Digital Brands Group, Inc.), Underwriting Agreement (Digital Brands Group, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124239676), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019. The prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called date hereof (the “Base Prospectus.” Effective Date”). Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [*], that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 2 contracts

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

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124208157), including any related prospectus or prospectuses, for the registration of the sale of the Public Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated December [ ], 2015, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 2 contracts

Samples: Underwriting Agreement (Rennova Health, Inc.), Underwriting Agreement (Rennova Health, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124224039), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act, which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [•], 2018, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 2 contracts

Samples: Underwriting Agreement (Heat Biologics, Inc.), Underwriting Agreement (Heat Biologics, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124218173), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus (as defined below) included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated June [●], 2017, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriter for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 2 contracts

Samples: Underwriting Agreement (Inpixon), Underwriting Agreement (Inpixon)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124227400), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act, which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [ ], 2018, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 2 contracts

Samples: Underwriting Agreement (Synthetic Biologics, Inc.), Underwriting Agreement (Synthetic Biologics, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement on Form S-3 S-1 (File No. 333-230124)128058) a registration statement, including any related prospectus or prospectusesa prospectus, for relating to the registration of the Public Securities under the Securities ActOffering, which registration statement was has been prepared by the Company in all material respects in conformity with the requirements of the Securities Act Act, and the rules and regulations (“Regulations”) of the Commission under the Securities Act. The registration statement as amended at the time it becomes effective, including the information (if any) deemed to be part of the registration statement at the time of effectiveness pursuant to Rule 430A under the Securities Act of 1933, as amended (the “Securities Act”), is hereinafter referred to as the “Registration Statement”; the prospectus in the form first filed with the Commission pursuant to and within the time limits described in Rule 424(b) is hereinafter referred to as the “Prospectus.” If the Company has filed an abbreviated registration statement to register additional Firm Units pursuant to Rule 462(b) under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement on file with the Commission at any given time, including any amendments thereto to such time, exhibits and schedules thereto at such time, documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and information otherwise deemed to be a part thereof or included therein pursuant to Rule 430B of the Securities Act Regulations (the “Rule 430B Information”) or otherwise pursuant to the Securities Act Regulations at such time, is referred to herein as the “462 Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations”), then after such filing, any reference herein to the term “Registration Statement” shall be deemed to include such registration statement filed pursuant Rule 462 Registration Statement. For purposes of this Agreement, “Time of Sale” means [ ] p.m., New York City time, on the date of this Agreement. Prior to Rule 462(b). The Registration Statement was declared effective the Time of Sale, the Company prepared a preliminary prospectus, dated January ___, 2006, for distribution by the Commission on March 29, 2019. The prospectus in Underwriters (the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing of the final prospectus supplement referred to in the following paragraph is herein called a “Preliminary Prospectus.” Promptly after ”). If, subsequent to the execution and delivery date of this Agreement, the Company will prepare and file with or the Commission Representative has determined that the Preliminary Prospectus included an untrue statement of a final prospectus supplement material fact or omitted a statement of material fact necessary to make the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented)statements therein, in the form filed with light of the Commission pursuant circumstances under which they were made, not misleading and have agreed to Rule 424(b) under provide an opportunity to purchasers of the Securities Act is herein called Units to terminate their old purchase contracts and enter into new purchase contracts, then the “Prospectus.” Any reference herein to the Base Prospectus, any Preliminary Prospectus or the Prospectus shall will be deemed to refer include any additional information available to and include purchasers at the documents incorporated by reference therein pursuant to Item 12 time of Form S-3 under entry into the Securities Act as of the date of first such prospectusnew purchase contract.

Appears in 2 contracts

Samples: Underwriting Agreement (Acquicor Technology Inc), Underwriting Agreement (Acquicor Technology Inc)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement and any amendment thereto, on Form S-3 S-1 (File No. 333-230124256840), including any related preliminary prospectus or prospectuses(the “Preliminary Prospectus”, including any prospectus that is included in the registration statement immediately prior to the effectiveness of the registration statement), for the registration of the Public Securities Units under the Securities Act, which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act Act, and the rules and regulations (the “Regulations”) of the Commission under the Securities Act (Act. The conditions for use of Form S-1 to register the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with Offering under the Securities Act and Act, as set forth in the Securities Act RegulationsGeneral Instructions to such Form, have been satisfied. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective, including any amendments thereto to such timethe prospectus, financial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of such time pursuant to Rule 430B 430A of the Securities Act Regulations (Regulations, together with the “Rule 430B Information”) or otherwise pursuant to the Securities Act Regulations at such time, is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If registration statement filed by the Company files any registration statement pursuant to Rule 462(b) of under the Securities Act Regulationsregistering additional Public Securities, then after such filing, is hereinafter called the term “Registration Statement,shall include such registration statement and the form of the final prospectus dated the Effective Date included in the Registration Statement (or, if applicable, the form of final prospectus containing information permitted to be omitted at the time of effectiveness by Rule 430A of the Regulations, filed by the Company with the Commission pursuant to Rule 462(b424 of the Regulations), is hereinafter called the “Prospectus.” For purposes of this Agreement, “Applicable Time,” as used in the Securities Act, means 5:00 p.m. New York City time, on the date of this Agreement. Prior to the Applicable Time, the Company prepared a Preliminary Prospectus, which was included in the Registration Statement filed on [●], 2021, for distribution by the Underwriters (such Preliminary Prospectus used most recently prior to the Applicable Time, the “Statutory Prospectus”). Other than the Registration Statement, together with any correspondence letters between the Company and/or counsel for the Company and the Commission, no other document with respect to the Registration Statement has been filed under the Securities Act with the Commission. All of the Public Securities have been or will be registered for public sale under the Securities Act pursuant to the Registration Statement. The Registration Statement was has been declared effective by the Commission on March 29the date hereof. If, 2019. The prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement subsequent to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing of the final prospectus supplement referred to in the following paragraph is herein called a “Preliminary Prospectus.” Promptly after the execution and delivery date of this Agreement, the Company will prepare and file with or the Commission Representative determines that, at the Applicable Time, the Statutory Prospectus included an untrue statement of a final prospectus supplement material fact or omitted a statement of material fact necessary to make the Base Prospectus relating to statements therein, in light of the Public Securities circumstances under which they were made, not misleading and the Offering in accordance with Company and the provisions of Rule 430B and Rule 424(b) Representative agree to provide an opportunity to purchasers of the Securities Act Regulations. Such final prospectus supplement (including Units to terminate their old purchase contracts and enter into new purchase contracts, then the Base Statutory Prospectus as so supplemented), in the form filed with the Commission pursuant to Rule 424(b) under the Securities Act is herein called the “Prospectus.” Any reference herein to the Base Prospectus, any Preliminary Prospectus or the Prospectus shall will be deemed to refer include any additional information available to and include purchasers at the documents incorporated by reference therein pursuant to Item 12 time of Form S-3 under entry into the Securities Act as of the date of first such prospectusnew purchase contract.

Appears in 1 contract

Samples: Underwriting Agreement (PHP Ventures Acquisition Corp.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124224039), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act, which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated May 2, 2018, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Heat Biologics, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124208157), including any related prospectus or prospectuses, for the registration of the sale of the Public Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated December 23, 2015, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Rennova Health, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124333- 224620), including any related prospectus or prospectuses, for the registration of the Public Securities, the Common Stock issuable upon conversion of the Series A Preferred Shares (the “Series A Preferred Conversion Shares”) included in the Public Securities, and the Common Stock issuable upon conversion of the Series B Preferred Shares (the “Series B Preferred Conversion Shares”), included in the Public Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated June 20, 2018, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (iBio, Inc.)

Pursuant to the Securities Act. The Company has prepared and filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement on Form S-3 S-1, as amended (File No. 333-230124226840), including any the related preliminary prospectus or prospectusesprospectuses (the “Initial Registration Statement”), for relating to the registration of the Public Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was Initial Registration Statement and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) ); and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement on file with the Commission at any given time, including any amendments thereto to such time, exhibits and schedules thereto at such time, documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and information otherwise deemed to be a part thereof or included therein pursuant to Rule 430B of the Securities Act Regulations (the “Rule 430B Information”) or otherwise pursuant to the Securities Act Regulations at such time, is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If , and any post-effective amendment thereto, each in the Company files any form previously delivered to you, have been declared effective by the Commission, in such form. Other than a registration statement statement, if any, increasing the size of the Offering (a “Rule 462(b) Registration Statement”) filed pursuant to Rule 462(b) of under the Securities Act RegulationsAct, then after such which will become effective upon filing, the term “Registration Statement” shall include such registration statement filed pursuant no other document with respect to Rule 462(b). The Registration Statement was declared effective by the Commission on March 29, 2019. The prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called has heretofore been filed with the “Base Prospectus.” Each preliminary prospectus supplement to Commission. The various parts of the Base Prospectus (Initial Registration Statement and the 462(b) Registration Statement, if any, including all exhibits thereto and including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing of the final prospectus supplement referred to in the following paragraph is herein called a “Preliminary Prospectus.” Promptly after the execution and delivery of this Agreement, the Company will prepare and file with the Commission a final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), information contained in the form of final prospectus filed with the Commission pursuant to Rule 424(b) under the Securities Act and deemed by virtue of Rule 430A under the Securities Act to be part of the Initial Registration Statement at the time it became effective under the Securities Act (the “Rule 430A Information”), each as amended at the time such part of the Initial Registration Statement or Rule 462(b) Registration Statement, if any, became or hereafter becomes effective under the Securities Act, are hereafter collectively referred to as the “Registration Statement.” Each prospectus used prior to the effectiveness of the Registration Statement, and each prospectus that omitted the Rule 430A Information that was used after such effectiveness and prior to the execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” The Preliminary Prospectus, subject to being completed and dated April 2, 2019, that was included in the Registration Statement immediately prior to the Applicable Time, is hereinafter called the “Pricing Prospectus.” The final prospectus in the form first furnished to the Underwriters to use in the Offering is hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and the latest Preliminary Prospectus included in the Registration Statement. All references in this Agreement to the Registration Statement, the Rule 462(b) Registration Statement, any Preliminary Prospectus, or the Prospectus, or any amendments or supplements to any of the foregoing, shall be deemed to include any copy thereof filed with the documents incorporated by reference therein Commission pursuant to Item 12 of Form S-3 under the Securities Act as of the date of such prospectusits Electronic Data Gathering, Analysis and Retrieval (“EXXXX”) system.

Appears in 1 contract

Samples: Underwriting Agreement (Verb Technology Company, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement on Form S-3 S-1 (File No. 333-230124225876), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated October 30, 2018, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectus.Registration Statement. Exhibit C

Appears in 1 contract

Samples: Underwriting Agreement (Creative Realities, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 F-1 (File No. 333-230124272476), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, exhibits schedules, exhibits, and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated July 28, 2023, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Pixie Dust Technologies, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124253049), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [_______], that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Focus Universal Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124333-______), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [*], that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (HeartCore Enterprises, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement and any amendment thereto, on Form S-3 S-1 (File No. 333-230124[__]), including any related preliminary prospectus or prospectuses(the “Preliminary Prospectus”, including any prospectus that is included in the registration statement immediately prior to the effectiveness of the registration statement), for the registration of the Public Securities Units under the Securities Act, which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act Act, and the rules and regulations (the “Regulations”) of the Commission under the Securities Act (Act. The conditions for use of Form S-1 to register the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with Offering under the Securities Act and Act, as set forth in the Securities Act RegulationsGeneral Instructions to such Form, have been satisfied. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective, including any amendments thereto to such timethe prospectus, financial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of such time pursuant to Rule 430B 430A of the Securities Act Regulations (the “Rule 430B Information”) or otherwise pursuant to the Securities Act Regulations at such timeRegulations, is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files together with any registration statement filed by the Company pursuant to Rule 462(b) of under the Securities Act Regulationsregistering additional Public Securities, then after such filing, is hereinafter called the term “Registration Statement,shall include such registration statement and the form of the final prospectus dated the Effective Date included in the Registration Statement (or, if applicable, the form of final prospectus containing information permitted to be omitted at the time of effectiveness by Rule 430A of the Regulations, filed by the Company with the Commission pursuant to Rule 462(b424 of the Regulations), is hereinafter called the “Prospectus.” For purposes of this Agreement, “Applicable Time,” as used in the Securities Act, means [_:__] p.m., New York City time, on the date of this Agreement. Prior to the Applicable Time, the Company prepared a Preliminary Prospectus, which was included in the Registration Statement filed on [__], 2022, for distribution by the Underwriters (such Preliminary Prospectus used most recently prior to the Applicable Time, the “Statutory Prospectus”). Other than the Registration Statement, together with any correspondence letters between the Company and/or counsel for the Company and the Commission, no other document with respect to the Registration Statement has been filed under the Securities Act with the Commission. All of the Public Securities have been or will be registered for public sale under the Securities Act pursuant to the Registration Statement. The Registration Statement was has been declared effective by the Commission on March 29the date hereof. If, 2019. The prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement subsequent to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing of the final prospectus supplement referred to in the following paragraph is herein called a “Preliminary Prospectus.” Promptly after the execution and delivery date of this Agreement, the Company will prepare and file with or the Commission Representative determines that, at the Applicable Time, the Statutory Prospectus included an untrue statement of a final prospectus supplement material fact or omitted a statement of material fact necessary to make the Base Prospectus relating to statements therein, in light of the Public Securities circumstances under which they were made, not misleading and the Offering in accordance with Company and the provisions of Rule 430B and Rule 424(b) Representative agree to provide an opportunity to purchasers of the Securities Act Regulations. Such final prospectus supplement (including Units to terminate their old purchase contracts and enter into new purchase contracts, then the Base Statutory Prospectus as so supplemented), in the form filed with the Commission pursuant to Rule 424(b) under the Securities Act is herein called the “Prospectus.” Any reference herein to the Base Prospectus, any Preliminary Prospectus or the Prospectus shall will be deemed to refer include any additional information available to and include purchasers at the documents incorporated by reference therein pursuant to Item 12 time of Form S-3 under entry into the Securities Act as of the date of first such prospectusnew purchase contract.

Appears in 1 contract

Samples: Underwriting Agreement (Plutonian Acquisition Corp.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 F-1 (File No. 333-230124269657), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [●], 2023, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (EPWK Holdings Ltd.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124253049), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated August 26, 2021, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Focus Universal Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement and any amendment thereto, on Form S-3 S-1 (File No. 333-230124256840), including any related preliminary prospectus or prospectuses(the “Preliminary Prospectus”, including any prospectus that is included in the registration statement immediately prior to the effectiveness of the registration statement), for the registration of the Public Securities Units under the Securities Act, which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act Act, and the rules and regulations (the “Regulations”) of the Commission under the Securities Act (Act. The conditions for use of Form S-1 to register the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with Offering under the Securities Act and Act, as set forth in the Securities Act RegulationsGeneral Instructions to such Form, have been satisfied. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective, including any amendments thereto to such timethe prospectus, financial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of such time pursuant to Rule 430B 430A of the Securities Act Regulations (Regulations, together with the “Rule 430B Information”) or otherwise pursuant to the Securities Act Regulations at such time, is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If registration statement filed by the Company files any registration statement pursuant to Rule 462(b) of under the Securities Act Regulationsregistering additional Public Securities, then after such filing, is hereinafter called the term “Registration Statement,shall include such registration statement and the form of the final prospectus dated the Effective Date included in the Registration Statement (or, if applicable, the form of final prospectus containing information permitted to be omitted at the time of effectiveness by Rule 430A of the Regulations, filed by the Company with the Commission pursuant to Rule 462(b424 of the Regulations), is hereinafter called the “Prospectus.” For purposes of this Agreement, “Applicable Time,” as used in the Securities Act, means 5:00 p.m. New York City time, on the date of this Agreement. Prior to the Applicable Time, the Company prepared a Preliminary Prospectus, which was included in the Registration Statement filed on August 6, 2021, for distribution by the Underwriters (such Preliminary Prospectus used most recently prior to the Applicable Time, the “Statutory Prospectus”). Other than the Registration Statement, together with any correspondence letters between the Company and/or counsel for the Company and the Commission, no other document with respect to the Registration Statement has been filed under the Securities Act with the Commission. All of the Public Securities have been or will be registered for public sale under the Securities Act pursuant to the Registration Statement. The Registration Statement was has been declared effective by the Commission on March 29the date hereof. If, 2019. The prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement subsequent to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing of the final prospectus supplement referred to in the following paragraph is herein called a “Preliminary Prospectus.” Promptly after the execution and delivery date of this Agreement, the Company will prepare and file with or the Commission Representative determines that, at the Applicable Time, the Statutory Prospectus included an untrue statement of a final prospectus supplement material fact or omitted a statement of material fact necessary to make the Base Prospectus relating to statements therein, in light of the Public Securities circumstances under which they were made, not misleading and the Offering in accordance with Company and the provisions of Rule 430B and Rule 424(b) Representative agree to provide an opportunity to purchasers of the Securities Act Regulations. Such final prospectus supplement (including Units to terminate their old purchase contracts and enter into new purchase contracts, then the Base Statutory Prospectus as so supplemented), in the form filed with the Commission pursuant to Rule 424(b) under the Securities Act is herein called the “Prospectus.” Any reference herein to the Base Prospectus, any Preliminary Prospectus or the Prospectus shall will be deemed to refer include any additional information available to and include purchasers at the documents incorporated by reference therein pursuant to Item 12 time of Form S-3 under entry into the Securities Act as of the date of first such prospectusnew purchase contract.

Appears in 1 contract

Samples: Underwriting Agreement (PHP Ventures Acquisition Corp.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124235295), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act, which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated December [●], 2019, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Sg Blocks, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124235295), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act, which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated December 9, 2019, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Sg Blocks, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 F-1 (File No. 333-230124274696), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [*], 2023, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Metros Development Co., Ltd.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124252199), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act, which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated February [__], 2021, which was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (InspireMD, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124271951), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [*], that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Signing Day Sports, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124271951), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated October 24, 2023, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Signing Day Sports, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124238247), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act, which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated June __, 2020, which was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (InspireMD, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124256344), including any related prospectus or prospectuses, for the registration of the sale of the Public Securities Shares under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated _______________, 2021, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Fat Brands, Inc)

Pursuant to the Securities Act. The MBC and the Company has have filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-11 (File No. 333-230124208894), including any related prospectus or prospectuses, for the registration of the Public Securities Notes under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by MBC and the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If MBC or the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [ ● ], 2016, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (MBC Funding Ii Corp.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124268484), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated December 29, 2022, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (MGO Global Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124275142), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [●], 2024, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Reticulate Micro, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124333-[●]), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [●], 2022, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Asset Entities Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124235549), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act, which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated January [•], 2020, which was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (PDS Biotechnology Corp)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124224039), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act, which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [ ], 2018, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Synthetic Biologics, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 F-1 (File No. 333-230124268420), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated March 15, 2023, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (SYLA Technologies Co., Ltd.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement on Form S-3 S-1 (File No. 333-230124)128748) a registration statement, including any related prospectus or prospectusesa prospectus, for relating to the registration of the Public Securities under the Securities ActOffering, which registration statement was has been prepared by the Company in all material respects in conformity with the requirements of the Securities Act Act, and the rules and regulations (“Regulations”) of the Commission under the Securities Act. The registration statement as amended at the time it becomes effective, including the information (if any) deemed to be part of the registration statement at the time of effectiveness pursuant to Rule 430A under the Securities Act of 1933, as amended (the “Securities Act”), is hereinafter referred to as the “Registration Statement”; the prospectus in the form first filed with the Commission pursuant to and within the time limits described in Rule 424(b) is hereinafter referred to as the “Prospectus.” If the Company has filed an abbreviated registration statement to register additional Firm Units pursuant to Rule 462(b) under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement on file with the Commission at any given time, including any amendments thereto to such time, exhibits and schedules thereto at such time, documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and information otherwise deemed to be a part thereof or included therein pursuant to Rule 430B of the Securities Act Regulations (the “Rule 430B Information”) or otherwise pursuant to the Securities Act Regulations at such time, is referred to herein as the “462 Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations”), then after such filing, any reference herein to the term “Registration Statement” shall be deemed to include such registration statement filed pursuant Rule 462 Registration Statement. For purposes of this Agreement, “Time of Sale” means [ ] p.m., New York City time, on the date of this Agreement. Prior to Rule 462(b). The Registration Statement was declared effective the Time of Sale, the Company prepared a preliminary prospectus, dated January , 2006, for distribution by the Commission on March 29, 2019. The prospectus in Underwriter (the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing of the final prospectus supplement referred to in the following paragraph is herein called a “Preliminary Prospectus.” Promptly after ”). If, subsequent to the execution and delivery date of this Agreement, the Company will prepare and file with or the Commission Underwriter have determined that the Preliminary Prospectus included an untrue statement of a final prospectus supplement material fact or omitted a statement of material fact necessary to make the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented)statements therein, in the form filed with light of the Commission pursuant circumstances under which they were made, not misleading and have agreed to Rule 424(b) under provide an opportunity to purchasers of the Securities Act is herein called Units to terminate their old purchase contracts and enter into new purchase contracts, then the “Prospectus.” Any reference herein to the Base Prospectus, any Preliminary Prospectus or the Prospectus shall will be deemed to refer include any additional information available to and include purchasers at the documents incorporated by reference therein pursuant to Item 12 time of Form S-3 under entry into the Securities Act as of the date of first such prospectusnew purchase contract.

Appears in 1 contract

Samples: Underwriting Agreement (Oracle Healthcare Acquisition Corp.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124255193), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act, which registration statement was prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except Act”).Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B of the Securities Act Regulations 430A (the “Rule 430B 430A Information”) or otherwise pursuant to of the the rules and regulations of the Commission promulgated thereunder (the “Securities Act Regulations at such timeRegulations”), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [●], 2021, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Underwriters for use in the Offering, that includes the Rule 424(b) under the Securities Act 430A Information, is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectus.Registration Statement. ​ ​

Appears in 1 contract

Samples: Underwriting Agreement (Digital Brands Group, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124333-[●]), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [●], 2023, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (CleanCore Solutions, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124227228), including any related prospectus or prospectuses, for the registration of the Public Securities under Securities, and the Securities Act, which registration statement was prepared by the Company in all material respects in conformity with the requirements shares of Common Stock issuable upon exercise of the Securities Act Warrants (the “Warrant Shares”) and the rules and regulations Common Stock issuable upon conversion of the Commission Preferred Stock (the “Preferred Conversion Shares”) included in the Public Securities, under the Securities Act of 1933, as amended (the “Securities Act RegulationsAct) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations). Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019Commission. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [________ __, 2018], that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Tonix Pharmaceuticals Holding Corp.)

AutoNDA by SimpleDocs

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124269566), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representatives’ Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated February 3, 2023, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Hempacco Co., Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and amendments thereto, on Form S-3 F-1 (File No. 333-230124333- 194832), including any related prospectus or prospectuses, for the registration of the Public Securities under the U.S. Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Closing Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b) (a “Rule 462(b) Registration Statement”). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [•], 2016, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Mapi - Pharma LTD)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124266423), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated September 1, 2022, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Know Labs, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 F-1 (File No. 333-230124227448), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act, which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated October 11, 2018, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriter for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus” shall be deemed to refer to the latest Preliminary Prospectus included in the Registration Statement. All references in this agreement (this “Agreement”) to the Registration Statement, the Rule 462(b) Registration Statement, any Preliminary Prospectus or the Prospectus Prospectus, or any amendments or supplements to any of the foregoing, shall be deemed to refer to and include any copy thereof filed with the documents incorporated by reference therein Commission pursuant to Item 12 of Form S-3 under the Securities Act as of the date of such prospectusits Electronic Data Gathering, Analysis and Retrieval System (“EDXXX”).

Appears in 1 contract

Samples: Underwriting Agreement (Intellipharmaceutics International Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124333-[●]), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representatives’ Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [●], that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Sidus Space Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124333-[●]), including any related prospectus or prospectuses, for the registration of the Public Securities and the Representatives’ Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [●], 2023, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Sidus Space Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 F-1 (File No. 333-230124201283), including any related prospectus or prospectuses, for the registration of the Public Securities and the Representative’s Warrant under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement and amendment or amendments at the time each was prepared by filed with the Company Commission, complied in all material respects in conformity with the requirements of under the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain on Closing Date and Options Closing Date all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B of 430A under the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of under the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [•], 2015, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (BiondVax Pharmaceuticals Ltd.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 F-1 (File No. 333-230124227448), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act, which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated October ●, 2018, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriter for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus” shall be deemed to refer to the latest Preliminary Prospectus included in the Registration Statement. All references in this agreement (this “Agreement”) to the Registration Statement, the Rule 462(b) Registration Statement, any Preliminary Prospectus or the Prospectus Prospectus, or any amendments or supplements to any of the foregoing, shall be deemed to refer to and include any copy thereof filed with the documents incorporated by reference therein Commission pursuant to Item 12 of Form S-3 under the Securities Act as of the date of such prospectusits Electronic Data Gathering, Analysis and Retrieval System (“EDXXX”).

Appears in 1 contract

Samples: Underwriting Agreement (Intellipharmaceutics International Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124218173), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus (as defined below) included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated June 28, 2017, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriter for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Inpixon)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement on Form S-3 (File No. 333-230124333- 225377), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act, which registration statement was prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement on file with the Commission at any given time, including any amendments thereto to such time, exhibits and schedules thereto at such time, documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and information otherwise deemed to be a part thereof or included therein pursuant to Rule 430B of the Securities Act Regulations (the “Rule 430B Information”) or otherwise pursuant to the Securities Act Regulations at such time, is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was declared effective by the Commission on March 29June 14, 20192018. The prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing of the final prospectus supplement referred to in the following paragraph is herein called a “Preliminary Prospectus.” Promptly after the execution and delivery of this Agreement, the Company will prepare and file with the Commission a final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with the Commission pursuant to Rule 424(b) under the Securities Act is herein called the “Prospectus.” Any reference herein to the Base Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under the Securities Act as of the date of such prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Sigma Labs, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124224039), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act, which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated October 10, 2018, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Synthetic Biologics, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement and any amendment thereto, on Form S-3 S-1 (File No. 333-230124261114), including any related preliminary prospectus or prospectuses(the “Preliminary Prospectus”, including any prospectus that is included in the registration statement immediately prior to the effectiveness of the registration statement), for the registration of the Public Securities Units under the Securities Act, which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act Act, and the rules and regulations (the “Regulations”) of the Commission under the Securities Act (Act. The conditions for use of Form S-1 to register the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with Offering under the Securities Act and Act, as set forth in the Securities Act RegulationsGeneral Instructions to such Form, have been satisfied. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective, including any amendments thereto to such timethe prospectus, financial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of such time pursuant to Rule 430B 430A of the Securities Act Regulations (Regulations, together with the “Rule 430B Information”) or otherwise pursuant to the Securities Act Regulations at such time, is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If registration statement filed by the Company files any registration statement pursuant to Rule 462(b) of under the Securities Act Regulationsregistering additional Public Securities, then after such filing, is hereinafter called the term “Registration Statement,shall include such registration statement and the form of the final prospectus dated the Effective Date included in the Registration Statement (or, if applicable, the form of final prospectus containing information permitted to be omitted at the time of effectiveness by Rule 430A of the Regulations, filed by the Company with the Commission pursuant to Rule 462(b424 of the Regulations), is hereinafter called the “Prospectus.” For purposes of this Agreement, “Applicable Time,” as used in the Securities Act, means 6:30 p.m. New York City time, on the date of this Agreement. Prior to the Applicable Time, the Company prepared a Preliminary Prospectus, which was included in the Registration Statement filed on March 8, 2022, for distribution by the Underwriters (such Preliminary Prospectus used most recently prior to the Applicable Time, the “Statutory Prospectus”). Other than the Registration Statement, together with any correspondence letters between the Company and/or counsel for the Company and the Commission, no other document with respect to the Registration Statement has been filed under the Securities Act with the Commission. All of the Public Securities have been or will be registered for public sale under the Securities Act pursuant to the Registration Statement. The Registration Statement was has been declared effective by the Commission on March 29the date hereof. If, 2019. The prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement subsequent to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing of the final prospectus supplement referred to in the following paragraph is herein called a “Preliminary Prospectus.” Promptly after the execution and delivery date of this Agreement, the Company will prepare and file with or the Commission Representative determines that, at the Applicable Time, the Statutory Prospectus included an untrue statement of a final prospectus supplement material fact or omitted a statement of material fact necessary to make the Base Prospectus relating to statements therein, in light of the Public Securities circumstances under which they were made, not misleading and the Offering in accordance with Company and the provisions of Rule 430B and Rule 424(b) Representative agree to provide an opportunity to purchasers of the Securities Act Regulations. Such final prospectus supplement (including Units to terminate their old purchase contracts and enter into new purchase contracts, then the Base Statutory Prospectus as so supplemented), in the form filed with the Commission pursuant to Rule 424(b) under the Securities Act is herein called the “Prospectus.” Any reference herein to the Base Prospectus, any Preliminary Prospectus or the Prospectus shall will be deemed to refer include any additional information available to and include purchasers at the documents incorporated by reference therein pursuant to Item 12 time of Form S-3 under entry into the Securities Act as of the date of first such prospectusnew purchase contract.

Appears in 1 contract

Samples: Underwriting Agreement (Nubia Brand International Corp.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124236371), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [______], that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Alpha Investment Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement on Form S-3 S-1 (File No. 333-230124225876), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [●], 2018, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Creative Realities, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124234105), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act, which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated October [•], 2019, which was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Heat Biologics, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement and any amendment thereto, on Form S-3 S-1 (File No. 333-230124267742), including any related preliminary prospectus or prospectuses(the “Preliminary Prospectus”, including any prospectus that is included in the registration statement immediately prior to the effectiveness of the registration statement), for the registration of the Public Securities Units under the Securities Act, which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act Act, and the rules and regulations (the “Regulations”) of the Commission under the Securities Act (Act. The conditions for use of Form S-1 to register the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with Offering under the Securities Act and Act, as set forth in the Securities Act RegulationsGeneral Instructions to such Form, have been satisfied. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective, including any amendments thereto to such timethe prospectus, financial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of such time pursuant to Rule 430B 430A of the Securities Act Regulations (the “Rule 430B Information”) or otherwise pursuant to the Securities Act Regulations at such timeRegulations, is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files together with any registration statement filed by the Company pursuant to Rule 462(b) of under the Securities Act Regulationsregistering additional Public Securities, then after such filing, is hereinafter called the term “Registration Statement,shall include such registration statement and the form of the final prospectus dated the Effective Date included in the Registration Statement (or, if applicable, the form of final prospectus containing information permitted to be omitted at the time of effectiveness by Rule 430A of the Regulations, filed by the Company with the Commission pursuant to Rule 462(b424 of the Regulations), is hereinafter called the “Prospectus.” For purposes of this Agreement, “Applicable Time,” as used in the Securities Act, means 6:30 p.m., New York City time, on the date of this Agreement. Prior to the Applicable Time, the Company prepared a Preliminary Prospectus, which was included in the Registration Statement filed on October 14, 2022, for distribution by the Underwriters (such Preliminary Prospectus used most recently prior to the Applicable Time, the “Statutory Prospectus”). Other than the Registration Statement, together with any correspondence letters between the Company and/or counsel for the Company and the Commission, no other document with respect to the Registration Statement has been filed under the Securities Act with the Commission. All of the Public Securities have been or will be registered for public sale under the Securities Act pursuant to the Registration Statement. The Registration Statement was has been declared effective by the Commission on March 29the date hereof. If, 2019. The prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement subsequent to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing of the final prospectus supplement referred to in the following paragraph is herein called a “Preliminary Prospectus.” Promptly after the execution and delivery date of this Agreement, the Company will prepare and file with or the Commission Representative determines that, at the Applicable Time, the Statutory Prospectus included an untrue statement of a final prospectus supplement material fact or omitted a statement of material fact necessary to make the Base Prospectus relating to statements therein, in light of the Public Securities circumstances under which they were made, not misleading and the Offering in accordance with Company and the provisions of Rule 430B and Rule 424(b) Representative agree to provide an opportunity to purchasers of the Securities Act Regulations. Such final prospectus supplement (including Units to terminate their old purchase contracts and enter into new purchase contracts, then the Base Statutory Prospectus as so supplemented), in the form filed with the Commission pursuant to Rule 424(b) under the Securities Act is herein called the “Prospectus.” Any reference herein to the Base Prospectus, any Preliminary Prospectus or the Prospectus shall will be deemed to refer include any additional information available to and include purchasers at the documents incorporated by reference therein pursuant to Item 12 time of Form S-3 under entry into the Securities Act as of the date of first such prospectusnew purchase contract.

Appears in 1 contract

Samples: Underwriting Agreement (Plutonian Acquisition Corp.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 F-1 (File No. 333-230124228521), including any related prospectus or prospectuses, for the registration of the Public Securities under Securities, the Securities Act, which registration statement was prepared by the Company in all material respects in conformity with the requirements ADSs issuable upon exercise of the Securities Act Warrants (the “Warrant Shares”), and the rules and regulations ADSs issuable upon exercise of the Commission Purchase Rights (the “Purchase Right Shares”), under the Securities Act of 1933, as amended (the “Securities Act RegulationsAct) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations). Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019Commission. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated ________ __, 2019, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriter for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Nano Dimension Ltd.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124234159), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [●], that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (MOVING iMAGE TECHNOLOGIES INC.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement and an amendment or amendments thereto, on Form S-3 F-1 (File No. 333-230124153155), including any related preliminary prospectus or prospectuses(the “Preliminary Prospectus”, including any prospectus that is included in the Registration Statement immediately prior to the effectiveness of the Registration Statement), for the registration of the Public Securities and the Representative’s Securities under the Securities Act, which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act Act, and the rules and regulations (the “Regulations”) of the Commission under the Securities Act (Act. The conditions for use of Form F-1 to register the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with Offering under the Securities Act and Act, as set forth in the Securities Act RegulationsGeneral Instructions to such Form, have been satisfied. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement becomes effective (including the prospectus, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of such time pursuant to Rule 430B 430A of the Securities Act Regulations (the “Rule 430B Information”) or otherwise pursuant to the Securities Act Regulations at such timeRegulations), is referred to herein as hereinafter called the “Registration Statement.,The and the form of the final prospectus dated the Effective Date included in the Registration Statement (or, if applicable, the form of final prospectus containing information permitted to be omitted at the time it originally became effective of effectiveness by Rule 430A of the Regulations filed with the Commission pursuant to Rule 424 of the Regulations), is referred to herein as hereinafter called the “Initial Registration StatementProspectus.” For purposes of this Agreement, “Time of Sale”, as used in the Securities Act, means 5:00 p.m., New York City time, on the date of this Agreement. Prior to the Time of Sale, the Company prepared Preliminary Prospectuses, dated August 22, 2008, September 17, 2008 and [__________] for distribution by the Underwriters (together the “Sale Preliminary Prospectus”). If the Company files any has filed, or is required pursuant to the terms hereof to file, a registration statement pursuant to Rule 462(b) of under the Securities Act Regulationsregistering additional Securities of any type (a “Rule 462(b) Registration Statement”), then after such filingthen, unless otherwise specified, any reference herein to the term “Registration Statement” shall be deemed to include such registration statement filed pursuant to Rule 462(b)) Registration Statement. The Other than a Rule 462(b) Registration Statement, which, if filed, becomes effective upon filing, no other document with respect to the Registration Statement was declared effective by the Commission on March 29, 2019. The prospectus in the form in which it was has heretofore been filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described Commission. All of the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing of the final prospectus supplement referred to in the following paragraph is herein called a “Preliminary Prospectus.” Promptly after the execution and delivery of this Agreement, the Company will prepare and file with the Commission a final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with the Commission pursuant to Rule 424(b) have been registered under the Securities Act is herein called the “Prospectus.” Any reference herein pursuant to the Base ProspectusRegistration Statement or, if any Preliminary Prospectus or the Prospectus shall Rule 462(b) Registration Statement is filed, will be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 duly registered under the Securities Act as of with the date filing of such prospectus.Rule 462(b)

Appears in 1 contract

Samples: Underwriting Agreement (Korea Milestone Acquisition CORP)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333377-23012405693), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [*], that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Hempacco Co., Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124333-______), including any related prospectus or prospectuses, which registration statement was declared effective on _______ __, 2021, for the registration of the Public Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated __________- __, 2021, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Alset EHome International Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 F-1 (File No. 333-230124333- 267068), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [●], 2022, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Fitell Corp)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement on Form S-3 (File No. 333-230124265995), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act, which registration statement was prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement on file with the Commission at any given time, including any amendments thereto to such time, exhibits and schedules thereto at such time, documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and information otherwise deemed to be a part thereof or included therein pursuant to Rule 430B of the Securities Act Regulations (the “Rule 430B Information”) or otherwise pursuant to the Securities Act Regulations at such time, is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was declared effective by the Commission on March 29July 15, 20192022. The prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing of the final prospectus supplement referred to in the following paragraph is herein called a “Preliminary Prospectus.” Promptly after the execution and delivery of this Agreement, the Company will prepare and file with the Commission a final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with the Commission pursuant to Rule 424(b) under the Securities Act is herein called the “Prospectus.” Any reference herein to the Base Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under the Securities Act as of the date of such prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Cel Sci Corp)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124227228), including any related prospectus or prospectuses, for the registration of the Public Securities under Securities, and the Securities Act, which registration statement was prepared by the Company in all material respects in conformity with the requirements shares of Common Stock issuable upon exercise of the Securities Act Warrants (the “Warrant Shares”) and the rules and regulations Common Stock issuable upon conversion of the Commission Preferred Stock (the “Preferred Conversion Shares”) included in the Public Securities, under the Securities Act of 1933, as amended (the “Securities Act RegulationsAct) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations). Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019Commission. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated December 6, 2018, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Tonix Pharmaceuticals Holding Corp.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124261984), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated February 8, 2022, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (HeartCore Enterprises, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124234263), including any related prospectus or prospectuses, for the registration of the Public Securities under Securities, and the Securities Act, which registration statement was prepared by the Company in all material respects in conformity with the requirements shares of Common Stock issuable upon exercise of the Securities Act Warrants (the “Warrant Shares”) and the rules and regulations Common Stock issuable upon conversion of the Commission Preferred Stock (the “Preferred Conversion Shares”) included in the Securities, under the Securities Act of 1933, as amended (the “Securities Act RegulationsAct) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations). Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019Commission. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [●], that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Tonix Pharmaceuticals Holding Corp.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124264321), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated May 10, 2022, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Actelis Networks Inc)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 F-1 (File No. 333-230124333- 267068), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representatives’ Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated July 26, 2023, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Fitell Corp)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 F-1 (File No. 333-230124274696), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representatives’ Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [*], 2023, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Metros Development Co., Ltd.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities Commission a registration statement, and Exchange Commission (the “Commission”) a “shelf” registration statement an amendment or amendments thereto, on Form S-3 F-1 (File No. 333-230124267077), including any related prospectus or prospectuses, for the registration of the Public Securities Shares under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing Registration Statement being declared effective by the Commission, and each prospectus that omitted the Rule 430A Information that was used after being declared effective and prior to the execution and delivery of the final prospectus supplement referred to in the following paragraph this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated December 19, 2022, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (CBL International LTD)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124235976), including any related prospectus or prospectuses, for the registration of the Public Securities under Securities, the Securities Act, which registration statement was prepared by the Company in all material respects in conformity with the requirements shares of Common Stock issuable upon exercise of the Securities Act Warrants (the “Warrant Shares”) and the rules and regulations Common Stock issuable upon conversion of the Commission Preferred Stock (the “Preferred Conversion Shares”) included in the Public Securities, under the Securities Act of 1933, as amended (the “Securities Act RegulationsAct) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations). Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019Commission. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [●], 2020, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Tonix Pharmaceuticals Holding Corp.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124270702), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, exhibits schedules, exhibits, and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [●], that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Oranco Inc)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124333-[●]), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated [●], 2021, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Esports Technologies, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 F-1 (File No. 333-230124268187), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated January 10, 2023, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Brera Holdings PLC)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement on Form S-3 S-1 (File No. 333-230124230036), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated March 13, 2019, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Opgen Inc)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124333- 224620), including any related prospectus or prospectuses, for the registration of the Public Securities, the Common Stock issuable upon conversion of the Series A Preferred Shares (the “Series A Preferred Conversion Shares”) included in the Public Securities, and the Common Stock issuable upon conversion of the Series B Preferred Shares (the “Series B Preferred Conversion Shares”), included in the Public Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). [The Registration Statement was has been declared effective by the Commission on March 29, 2019. The the date hereof.] Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated June [__], 2018, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (iBio, Inc.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement and an amendment or amendments thereto, on Form S-3 F-1 (File No. 333-230124153155), including any related preliminary prospectus or prospectuses(the “Preliminary Prospectus”, including any prospectus that is included in the Registration Statement immediately prior to the effectiveness of the Registration Statement), for the registration of the Public Securities and the Representative’s Securities under the Securities Act, which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act Act, and the rules and regulations (the “Regulations”) of the Commission under the Securities Act (Act. The conditions for use of Form F-1 to register the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with Offering under the Securities Act and Act, as set forth in the Securities Act RegulationsGeneral Instructions to such Form, have been satisfied. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement becomes effective (including the prospectus, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of such time pursuant to Rule 430B 430A of the Securities Act Regulations (the “Rule 430B Information”) or otherwise pursuant to the Securities Act Regulations at such timeRegulations), is referred to herein as hereinafter called the “Registration Statement.,The and the form of the final prospectus dated the Effective Date included in the Registration Statement (or, if applicable, the form of final prospectus containing information permitted to be omitted at the time it originally became effective of effectiveness by Rule 430A of the Regulations filed with the Commission pursuant to Rule 424 of the Regulations), is referred to herein as hereinafter called the “Initial Registration StatementProspectus.” For purposes of this Agreement, “Time of Sale”, as used in the Securities Act, means 5:00 p.m., New York City time, on the date of this Agreement. Prior to the Time of Sale, the Company prepared Preliminary Prospectuses, dated [__________] for distribution by the Underwriters (together the “Sale Preliminary Prospectus”). If the Company files any has filed, or is required pursuant to the terms hereof to file, a registration statement pursuant to Rule 462(b) of under the Securities Act Regulationsregistering additional Securities of any type (a “Rule 462(b) Registration Statement”), then after such filingthen, unless otherwise specified, any reference herein to the term “Registration Statement” shall be deemed to include such registration statement filed pursuant to Rule 462(b)) Registration Statement. The Other than a Rule 462(b) Registration Statement, which, if filed, becomes effective upon filing, no other document with respect to the Registration Statement was declared effective by the Commission on March 29, 2019. The prospectus in the form in which it was has heretofore been filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described Commission. All of the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing of the final prospectus supplement referred to in the following paragraph is herein called a “Preliminary Prospectus.” Promptly after the execution and delivery of this Agreement, the Company will prepare and file with the Commission a final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with the Commission pursuant to Rule 424(b) have been registered under the Securities Act is herein called the “Prospectus.” Any reference herein pursuant to the Base ProspectusRegistration Statement or, if any Preliminary Prospectus or the Prospectus shall Rule 462(b) Registration Statement is filed, will be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 duly registered under the Securities Act as of with the date filing of such prospectus.Rule 462(b)

Appears in 1 contract

Samples: Underwriting Agreement (Korea Milestone Acquisition CORP)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124234159), including any related prospectus or prospectuses, for the registration of the Public Shares and the Representative’s Securities under the Securities Act of 1933, as amended (the “Securities Act”), which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated May 21, 2021, that was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (MOVING iMAGE TECHNOLOGIES INC.)

Pursuant to the Securities Act. The Company has filed with the U.S. Securities and Exchange Commission (the “Commission”) a “shelf” registration statement statement, and an amendment or amendments thereto, on Form S-3 S-1 (File No. 333-230124234105), including any related prospectus or prospectuses, for the registration of the Public Securities under the Securities Act, which registration statement was and amendment or amendments have been prepared by the Company in all material respects in conformity with the requirements of the Securities Act and the rules and regulations of the Commission under the Securities Act (the “Securities Act Regulations”) and contains and will contain all material statements that are required to be stated therein in accordance with the Securities Act and the Securities Act Regulations. Except as the context may otherwise require, such registration statement statement, as amended, on file with the Commission at any given timethe time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, including any amendments thereto to such timefinancial statements, schedules, exhibits and schedules thereto at such time, all other documents filed as a part thereof or incorporated pursuant to Item 12 of Form S-3 under the Securities Act at such time therein and the documents and all information otherwise deemed to be a part thereof or included therein as of the Effective Date pursuant to paragraph (b) of Rule 430B 430A of the Securities Act Regulations (the “Rule 430B 430A Information”) or otherwise pursuant to the Securities Act Regulations at such time)), is referred to herein as the “Registration Statement.” The Registration Statement at the time it originally became effective is referred to herein as the “Initial Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act Regulations, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement was has been declared effective by the Commission on March 29, 2019the date hereof. The Each prospectus in the form in which it was filed with the Commission in connection with the Initial Registration Statement is herein called the “Base Prospectus.” Each preliminary prospectus supplement to the Base Prospectus (including the Base Prospectus as so supplemented) that described the Public Securities and the Offering and omitted the Rule 430B Information and that was used prior to the filing effectiveness of the final Registration Statement, and each prospectus supplement referred that omitted the Rule 430A Information that was used after such effectiveness and prior to in the following paragraph execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” Promptly after The Preliminary Prospectus, subject to completion, dated January 13, 2020, which was included in the execution and delivery of this Agreement, Registration Statement immediately prior to the Company will prepare and file with Applicable Time is hereinafter called the Commission a “Pricing Prospectus.” The final prospectus supplement to the Base Prospectus relating to the Public Securities and the Offering in accordance with the provisions of Rule 430B and Rule 424(b) of the Securities Act Regulations. Such final prospectus supplement (including the Base Prospectus as so supplemented), in the form filed with first furnished to the Commission pursuant to Rule 424(b) under Underwriters for use in the Securities Act Offering is herein hereinafter called the “Prospectus.” Any reference herein to the Base “most recent Preliminary Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under latest Preliminary Prospectus included in the Securities Act as of the date of such prospectusRegistration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (Heat Biologics, Inc.)

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