Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 316 contracts
Samples: Securities Purchase Agreement (Coya Therapeutics, Inc.), Securities Purchase Agreement (Erayak Power Solution Group Inc.), Securities Purchase Agreement (Arq, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 191 contracts
Samples: Securities Purchase Agreement (Belite Bio, Inc), Securities Purchase Agreement (MAIA Biotechnology, Inc.), Securities Purchase Agreement (Harvard Apparatus Regenerative Technology, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 60 contracts
Samples: Securities Purchase Agreement (Arqit Quantum Inc.), Securities Purchase Agreement (Eyenovia, Inc.), Securities Purchase Agreement (Kaixin Auto Holdings)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 33 contracts
Samples: Form of Securities Purchase Agreement (Boqii Holding LTD), Securities Purchase Agreement (S&W Seed Co), Stock Purchase Agreement (Macrogenics Inc)
Regulation M Compliance. The Company has not, and to its knowledge no one Person acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 23 contracts
Samples: Purchase Agreement Purchase Agreement (Us Geothermal Inc), Purchase Agreement (Advanced Cell Technology, Inc.), Purchase Agreement (BioLineRx Ltd.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, has (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, Securities or (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 13 contracts
Samples: Securities Purchase Agreement (InsPro Technologies Corp), Securities Purchase Agreement (InsPro Technologies Corp), Securities Purchase Agreement (InsPro Technologies Corp)
Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, securities of the Company or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 13 contracts
Samples: Securities Purchase Agreement (Fluent, Inc.), Securities Purchase Agreement (Cidara Therapeutics, Inc.), Securities Purchase Agreement (Unicycive Therapeutics, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale issuance or resale of any of the Exchange Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Exchange Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 10 contracts
Samples: Exchange Agreement (Ascent Solar Technologies, Inc.), Exchange Agreement (Ascent Solar Technologies, Inc.), Exchange Agreement (Electronic Cigarettes International Group, Ltd.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) has taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 8 contracts
Samples: Securities Purchase Agreement (Barfresh Food Group Inc.), Securities Purchase Agreement (Barfresh Food Group Inc.), Securities Purchase Agreement (Barfresh Food Group Inc.)
Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 7 contracts
Samples: Stock Purchase Agreement (Vaccinex, Inc.), Stock Purchase Agreement (Vaccinex, Inc.), Stock Purchase Agreement (Vaccinex, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares or Warrants, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesShares or Warrants, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Document Security Systems Inc), Securities Purchase Agreement (Document Security Systems Inc), Securities Purchase Agreement (Document Security Systems Inc)
Regulation M Compliance. The Company has not, and to its knowledge Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Armata Pharmaceuticals, Inc.), Securities Purchase Agreement (Armata Pharmaceuticals, Inc.), Securities Purchase Agreement (Entasis Therapeutics Holdings Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, purchased or paid any compensation for soliciting purchases of, of any of the Securities, Securities or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 6 contracts
Samples: Underwriting Agreement (Cel Sci Corp), Underwriting Agreement (First Choice Healthcare Solutions, Inc.), Underwriting Agreement (Rexahn Pharmaceuticals, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.or
Appears in 6 contracts
Samples: Securities Purchase Agreement (Ab International Group Corp.), Securities Purchase Agreement (MassRoots, Inc.), Securities Purchase Agreement (Medbox, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securitiessecurities of the Company, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 4 contracts
Samples: Unit Purchase Agreement (Medovex Corp.), Preferred Stock and Warrant Purchase Agreement (Access Pharmaceuticals Inc), Securities Purchase Agreement (Foldera, Inc)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, Securities (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, Securities or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Aralez Pharmaceuticals Inc.), Securities Purchase Agreement (Aralez Pharmaceuticals Inc.), Securities Purchase Agreement (Aralez Pharmaceuticals Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses.
Appears in 4 contracts
Samples: Form of Securities Purchase Agreement (Infobird Co., LTD), Securities Purchase Agreement (Healthy Choice Wellness Corp.), Securities Purchase Agreement (Oncocyte Corp)
Regulation M Compliance. The During the term of this Agreement, the Company has will not, and to its knowledge no one any person acting on its the Company’s behalf haswill not, (i) takentake, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) soldsell, bid for, purchased, purchase or paid pay any compensation for soliciting purchases of, of any of the Securities, Securities or (iii) paid pay or agreed agree to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Titan Iron Ore Corp.), Securities Purchase Agreement (Titan Iron Ore Corp.), Securities Purchase Agreement (Visualant Inc)
Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Soleno Therapeutics Inc), Securities Purchase Agreement (Soleno Therapeutics Inc), Securities Purchase Agreement (Soleno Therapeutics Inc)
Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, securities of the Company or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Rallybio Corp), Securities Purchase Agreement (Tranzyme Inc), Purchase Agreement (Provident New York Bancorp)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesShares in violation of Regulation M under the Exchange Act, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 4 contracts
Samples: Securities Subscription Agreement, Securities Subscription Agreement, Securities Subscription Agreement (Amarin Corp Plc\uk)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (ia) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale issuance or resale of any of the Securities, (iib) sold, bid for, purchased, purchased or paid any compensation for soliciting purchases of, any of the Securities, or (iiic) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Sorrento Therapeutics, Inc.), Securities Purchase Agreement (Sorrento Therapeutics, Inc.), Securities Purchase Agreement (Sorrento Therapeutics, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 3 contracts
Samples: Securities Purchase Agreement (ViewRay, Inc.), Securities Purchase Agreement (Bluephoenix Solutions LTD), Securities Purchase Agreement (Amarin Corp Plc\uk)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Alliance MMA, Inc.), Securities Purchase Agreement (Alliance MMA, Inc.), Securities Purchase Agreement (Alliance MMA, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (ia) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (iib) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iiic) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 3 contracts
Samples: Investment Agreement (Rare Element Resources LTD), Investment Agreement (Synchron), Secured Convertible Note Purchase Agreement (Searchlight Minerals Corp.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale issuance or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 3 contracts
Samples: Exchange Agreement (Intercloud Systems, Inc.), Securities Purchase Agreement (Sorrento Therapeutics, Inc.), Securities Purchase Agreement (Soon-Shiong Patrick)
Regulation M Compliance. The Company Investor has not, and to its Investor’s knowledge no one acting on its Investor’s behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 3 contracts
Samples: Warrant Acquisition Agreement (Energy Focus, Inc/De), Warrant Acquisition Agreement (Energy Focus, Inc/De), Warrant Acquisition Agreement (Energy Focus, Inc/De)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesADSs or Ordinary Shares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesADSs or Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Tauriga Sciences, Inc.), Securities Purchase Agreement (Anchiano Therapeutics Ltd.), Securities Purchase Agreement (SciSparc Ltd./Adr)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (ia) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesPurchased Shares, (iib) sold, bid for, purchased, purchased or paid any compensation for soliciting purchases of, of any of the Securities, Purchased Shares or (iiic) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 3 contracts
Samples: Subscription Agreement (Toro Corp.), Subscription Agreement (Toro Corp.), Subscription Agreement (Pani Corp.)
Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 3 contracts
Samples: Securities Purchase Agreement (MeiraGTx Holdings PLC), Securities Purchase Agreement (MeiraGTx Holdings PLC), Securities Purchase Agreement (MeiraGTx Holdings PLC)
Regulation M Compliance. The Except as set forth in Schedule 3.1(s), the Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Palatin Technologies Inc), Securities Purchase Agreement (Palatin Technologies Inc)
Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Stock Purchase Agreement (LDK Solar Co., Ltd.), Stock Purchase Agreement (Solar Power, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Production Payment Purchase Agreement and Assignment (Golden Phoenix Minerals Inc /Mn/), Escrow Agreement (Golden Phoenix Minerals Inc /Mn/)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale issuance or resale of any of the SecuritiesExchange Shares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesExchange Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Exchange Agreement (Intercloud Systems, Inc.), Agreement (Intercloud Systems, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.or
Appears in 2 contracts
Samples: Securities Purchase Agreement, Securities Purchase Agreement
Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, Securities or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Telkonet Inc), Securities Purchase Agreement (Telkonet Inc)
Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Raptor Pharmaceutical Corp), Securities Purchase Agreement (Raptor Pharmaceutical Corp)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) has taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any Securities in violation of Regulation M under the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the CompanyExchange Act.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Stronghold Digital Mining, Inc.), Securities Purchase Agreement (Stronghold Digital Mining, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iii) other than, compensation paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the CompanyManager in connection with the Shares.
Appears in 2 contracts
Samples: Market Offering Agreement (Aethlon Medical Inc), Terms Agreement (Aethlon Medical Inc)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security securities of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Biovie Inc.), Securities Purchase Agreement (Biovie Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, securities of the Company or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Smartag International, Inc.), Securities Purchase Agreement (China North East Petroleum Holdings LTD)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company Common Stock to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iiiii) paid or agreed to pay to any Person any compensation for soliciting another to purchase the Securities or any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Digital Brands Group, Inc.), Securities Purchase Agreement (Digital Brands Group, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, in connection with the placement of the Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (INFOSONICS Corp), Securities Purchase Agreement (INFOSONICS Corp)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, Shares or (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iii) other than compensation paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities the Manager in connection with the placement of the CompanyShares.
Appears in 2 contracts
Samples: Market Offering Agreement (NovaBay Pharmaceuticals, Inc.), Market Offering Agreement (NovaBay Pharmaceuticals, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Form of Securities Purchase Agreement (ProSomnus, Inc.), Securities Purchase Agreement (United States Antimony Corp)
Regulation M Compliance. The Company has not, and to its knowledge knowledge, no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Energy Focus, Inc/De), Securities Purchase Agreement (Energy Focus, Inc/De)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Bonds or the Conversion Securities, or (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Bonds or Conversion Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Convertible Bonds (Inovio Pharmaceuticals, Inc.), Convertible Bonds (Inovio Pharmaceuticals, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one Person acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Share Purchase Agreement (Structure Therapeutics Inc.), Share Purchase Agreement (Structure Therapeutics Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, Shares; (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, of any of the Securities, Shares; or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, in each case in violation of Regulation M or to the extent otherwise unlawful.
Appears in 2 contracts
Samples: Stock Purchase Agreement (Syros Pharmaceuticals, Inc.), Stock Purchase Agreement (Syros Pharmaceuticals, Inc.)
Regulation M Compliance. The Company has not, and to its the Company’s knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Ault Alliance, Inc.), Securities Purchase Agreement (Allarity Therapeutics, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Range Impact, Inc.), Securities Purchase Agreement (Cytosorbents Corp)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, Shares or (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the CompanyShares.
Appears in 2 contracts
Samples: Stock Purchase Agreement (Fate Therapeutics Inc), Stock Purchase Agreement (Fate Therapeutics Inc)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesSecurities in violation of Regulation M, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Oramed Pharmaceuticals Inc.), Securities Purchase Agreement (Scilex Holding Co)
Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesShares in violation of Regulation M under the Exchange Act, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (NeuroBo Pharmaceuticals, Inc.), Securities Purchase Agreement (Amarillo Biosciences Inc)
Regulation M Compliance. The Company Hxxxxx Securities has not, and to its knowledge knowledge, no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, purchased or paid any compensation for soliciting purchases of, of any of the Securities, Securities or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesNotes, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesNotes, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Note Exchange Agreement (Accelerate Diagnostics, Inc), Note Purchase Agreement (Accelerate Diagnostics, Inc)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, has (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, ; (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, ; or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Andalay Solar, Inc.), Securities Purchase Agreement (Andalay Solar, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, or purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another Person to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (SANUWAVE Health, Inc.), Securities Purchase Agreement (SANUWAVE Health, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, Securities or (ii) sold, bid for, purchased, purchased or paid any compensation for soliciting purchases of, of any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Stock and Warrant Purchase Agreement (Conseco Inc), Stock and Warrant Purchase Agreement (Paulson & Co Inc)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesSecurities or Warrant Shares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesSecurities or Warrant Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Note and Securities Purchase Agreement, Note and Securities Purchase Agreement (PAVmed Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, Securities or (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, : (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, ; (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, ; or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Barfresh Food Group Inc.)
Regulation M Compliance. The Company has not, and to its the Company’s knowledge no one Company Party or anyone acting on its behalf of any Company Party has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iiiii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clause (i) and (ii), compensation paid to the Company’s placement agent in connection with the placement of the Securities.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, except as noted on Schedule 3.1(t).
Appears in 1 contract
Samples: Securities Purchase Agreement (Probility Media Corp)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the New Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the New Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its the Company’s knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, securities of the Company or (iii) paid or agreed to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid paid, or agreed to pay to any Person Person, any compensation for soliciting another Person to purchase any other securities of the Company.
Appears in 1 contract
Regulation M Compliance. The Company Rxxxxx has not, and to its knowledge knowledge, no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, purchased or paid any compensation to any third party for soliciting purchases of, of any of the Securities, Securities or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Samples: Parkervision Inc
Regulation M Compliance. The Company has not, and to its the knowledge of the Company, no one acting on its behalf has, (ia) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesCommon Stock, (iib) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesCommon Stock, or (iiic) paid or agreed to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Samples: Stock Purchase Agreement (First Choice Healthcare Solutions, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.any
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, except as set forth herein.
Appears in 1 contract
Samples: Securities Purchase Agreement (Echo Therapeutics, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge knowledge, no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Cleveland Biolabs Inc)
Regulation M Compliance. The Company Corporation has not, and to its the Corporation’s knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company Corporation to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, securities of the Corporation or (iii) paid or agreed to pay to any Person person any compensation for soliciting another to purchase any other securities of the CompanyCorporation.
Appears in 1 contract
Samples: Securities Purchase Agreement (Western Alliance Bancorporation)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases purchase of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (LiveXLive Media, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities Shares of the Company.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares or the Option Shares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesShares or the Option Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Loop Industries, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company Common Stock to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iiiii) paid or agreed to pay to any Person any compensation for soliciting another to purchase the Securities or any other securities of the Company..
Appears in 1 contract
Samples: Securities Purchase Agreement (Digital Brands Group, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.. 18
Appears in 1 contract
Samples: Securities Purchase Agreement
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.. EXECUTION VERSION
Appears in 1 contract
Samples: Securities Purchase Agreement (Eterna Therapeutics Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company. (ll) Intentionally omitted.
Appears in 1 contract
Samples: Securities Purchase Agreement (LGBTQ Loyalty Holdings, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Regulation M Compliance. The Since August 1, 2016, the Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Rennova Health, Inc.)
Regulation M Compliance. The During the term of this Agreement, the Company has will not, and to its knowledge no one any person acting on its the Company's behalf haswill not, (i) takentake, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) soldsell, bid for, purchased, purchase or paid pay any compensation for soliciting purchases of, of any of the Securities, Securities or (iii) paid pay or agreed agree to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Greenfield Farms Food, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesPreferred Shares, (ii) sold, bid for, or purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesPreferred Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another Person to purchase any other securities of the Company.
Appears in 1 contract
Samples: Series D Preferred Stock Purchase Agreement (SANUWAVE Health, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge Knowledge no one Person acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Parnell Pharmaceuticals Holdings LTD)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, : (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, ; or (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities Securities in violation of Regulation M under the CompanyExchange Act.
Appears in 1 contract
Samples: Securities Purchase Agreement (Mri Interventions, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge, no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesPurchase Shares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesPurchase Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the CompanyCompany in connection with this Agreement.
Appears in 1 contract
Samples: Preferred Stock Purchase Agreement (Alder Biopharmaceuticals Inc)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesStandby Shares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesCommon Stock, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Samples: Standby Purchase Agreement (Ikanos Communications, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid US-DOCS\133667321.2 any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (T2 Biosystems, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the CompanyShares.
Appears in 1 contract
Samples: Registration Rights Agreement (Aveo Pharmaceuticals Inc)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) has taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the CompanyCommon Shares.
Appears in 1 contract
Samples: Purchase Agreement (GlassesOff Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) except as set forth on Schedule 3.1(ee), paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Samples: Vuzix Corporation Series a Preferred Stock Purchase Agreement (Vuzix Corp)
Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesAcquired Shares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, securities of the Company or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its the Company’s knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesInvestor Shares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, securities of the Company or (iii) paid or agreed to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Western Alliance Bancorporation)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, Shares; (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, Shares; or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale issuance or resale of any of the SecuritiesPurchase Shares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesPurchase Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Regulation M Compliance. The Company has notnot taken, and and, to its knowledge the Company’s Knowledge, no one Person acting on its behalf has, (i) has taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the CompanyShares.
Appears in 1 contract
Samples: Securities Purchase Agreement (Vincerx Pharma, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge the Knowledge of the Company, no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesNotes or the Conversion Shares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesNotes or the Conversion Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
