Common use of Short Sales Clause in Contracts

Short Sales. Prior to the date hereof, the Purchaser has not taken, and prior to the public announcement of the transaction after the Closing the Purchaser shall not take, any action that has caused or will cause the Purchaser to have, directly or indirectly, sold or agreed to sell any shares of Common Stock, effected any short sale, whether or not against the box, established any “put equivalent position” (as defined in Rule 16a-1(h) under the Exchange Act with respect to the Common Stock, granted any other right (including, without limitation, any put or call option) with respect to the Common Stock or with respect to any security that includes, relates to or derived any significant part of its value from the Common Stock.

Appears in 12 contracts

Samples: Securities Purchase Agreement (2seventy Bio, Inc.), Securities Purchase Agreement (2seventy Bio, Inc.), Securities Purchase Agreement (Bluebird Bio, Inc.)

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Short Sales. Prior to Since the date hereofthe Purchaser first discussed with the Company the sale of the Shares contemplated by this Agreement, the Purchaser has not taken, and prior to the public announcement of the transaction after the Closing the Purchaser shall not take, any action that has caused or will cause the Purchaser to have, directly or indirectly, sold or agreed to sell any shares of Common Stock, effected any short sale, whether or not against the box, established any “put equivalent position” (as defined in Rule 16a-1(h) under the Exchange Act Act) with respect to the Common Stock, granted any other right (including, without limitation, any put or call option) with respect to the Common Stock or with respect to any security that includes, relates to or derived derives any significant part of its value from the Common Stock.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Kinderhook Partners, Lp), Securities Purchase Agreement (Active Power Inc), Securities Purchase Agreement (Active Power Inc)

Short Sales. Prior to Since the date hereoftime the Purchaser was first contacted about the offering of the Shares and the transactions contemplated hereby, the Purchaser has not taken, and prior to the public announcement of the transaction after the Closing the Purchaser shall not take, any action that has caused or will cause the Purchaser to have, directly or indirectly, sold or agreed to sell any shares of Common Stock, effected any short sale, whether or not against the box, established any “put equivalent position” (as defined in Rule 16a-1(h) under the Exchange Act Act) with respect to the Common Stock, granted any other right (including, without limitation, any put or call option) with respect to the Common Stock or with respect to any security that includes, relates to or derived any significant part of its value from the Common Stock.

Appears in 3 contracts

Samples: Purchase Agreement, Purchase Agreement (Acacia Research Corp), Purchase Agreement (Ion Geophysical Corp)

Short Sales. Prior to Between the date hereof, time such Purchaser obtained knowledge of the Purchaser has not taken, proposed sale of the Securities contemplated hereby and prior to the public announcement of the transaction after the Closing the transaction, such Purchaser shall has not take, taken any action that has caused or will cause the such Purchaser to have, directly or indirectly, sold or agreed to sell any shares of Common Stock, effected any short sale, whether or not against the box, established any “put equivalent position” (as defined in Rule 16a-1(h) under the Securities Exchange Act of 1934, as amended) with respect to the Common Stock, granted any other right (including, without limitation, any put or call option) with respect to the Common Stock or with respect to any security that includes, relates to or derived any significant part of its value from the Common Stock.

Appears in 2 contracts

Samples: Securities Purchase Agreement (North American Scientific Inc), Securities Purchase Agreement (North American Scientific Inc)

Short Sales. Prior to Since the date hereoftime the Purchaser was first contacted about the offering of the Securities and the transactions contemplated hereby, the Purchaser has not taken, and prior to the public announcement of the transaction after the Closing the Purchaser shall not take, any action that has caused or will cause the Purchaser to have, directly or indirectly, sold or agreed to sell any shares of Common Stock, effected any short sale, whether or not against the box, established any “put equivalent position” (as defined in Rule 16a-1(h) under the Exchange Act Act) with respect to the Common Stock, granted any other right (including, without limitation, including any put or call option) with respect to the Common Stock or with respect to any security that includes, relates to or derived any significant part of its value from the Common Stock.

Appears in 2 contracts

Samples: Subscription Agreement (Flotek Industries Inc/Cn/), Unit Purchase Agreement (Flotek Industries Inc/Cn/)

Short Sales. Prior to Since the date hereoftime the Purchaser was first contacted about the offering of the Shares and the transactions contemplated hereby, the Purchaser has not taken, and prior to the public announcement of the transaction after the Closing the Purchaser shall not take, any action that has caused or will cause the Purchaser to have, directly or indirectly, sold or agreed to sell any shares of Common Stock, effected any short sale, whether or not against the box, established any “put equivalent position” (as defined in Rule 16a-1(h) under the Exchange Act Act) with respect to the Common Stock, granted any other right (including, without limitation, any put or call option) with respect to the Common Stock or with respect to any security that includes, relates to or derived any significant part of its value from the Common Stock.

Appears in 2 contracts

Samples: Stock Purchase Agreement (Emcore Corp), Purchase Agreement (Ista Pharmaceuticals Inc)

Short Sales. Prior to Since the date hereoftime the Purchaser was first contacted by the Placement Agent, the Purchaser has not taken, and prior to the public announcement of the transaction after the Closing the Purchaser shall not take, any action that has caused or will cause the Purchaser to have, directly or indirectly, sold or agreed to sell any shares of Common Stock, effected any short sale, whether or not against the box, established any “put equivalent position” (as defined in Rule 16a-1(h) under the Exchange Act with respect to the Common Stock, granted any other right (including, without limitation, any put or call option) with respect to the Common Stock or with respect to any security that includes, relates to or derived any significant part of its value from the Common Stock.

Appears in 2 contracts

Samples: Purchase Agreement (Bank of the James Financial Group Inc), Purchase Agreement (Nb&t Financial Group Inc)

Short Sales. Prior After the date the Purchaser entered into a confidentiality undertaking with the Placement Agent with respect to the date hereoftransactions contemplated hereby, the Purchaser has not taken, and prior to the public announcement of the transaction after the Closing transaction, the Purchaser shall not take, any action that has caused or will cause the Purchaser to have, directly or indirectly, sold or agreed to sell any shares of Common Stock, effected any short salesale of Common Stock, whether or not against the box, established any “put equivalent position” (as defined in Rule 16a-1(h) under the Exchange Act Act) with respect to the Common Stock, granted any other right (including, without limitation, any put or call option) with respect to the Common Stock or with respect to any security that includes, relates to or derived any significant part of its value from the Common Stock.

Appears in 1 contract

Samples: Purchase Agreement (Flagstar Bancorp Inc)

Short Sales. Prior During the thirty (30) days prior to the date hereof, the each Purchaser has not taken, and prior to the public announcement of the transaction after the Closing the such Purchaser shall not take, any action that has caused or will cause the such Purchaser to have, directly or indirectly, sold or agreed to sell any shares of Common Stock, effected any short sale, whether or not against the box, established any “put equivalent position” (as defined in Rule 16a-1(h) under the Exchange Act with respect to the Common Stock, granted any other right (including, without limitation, any put or call option) with respect to the Common Stock or with respect to any security that includes, relates to or derived any significant part of its value from the Common Stock.

Appears in 1 contract

Samples: Purchase Agreement (Spark Networks Inc)

Short Sales. Prior Since the date the Purchaser was contacted by an Agent with respect to the date hereofsale of the Shares contemplated by this Agreement, the Purchaser has not taken, and prior to the public announcement of the transaction after the Closing the Purchaser shall not take, any action that has caused or will cause the Purchaser to have, directly or indirectly, sold or agreed to sell any shares of Common Stock, effected any short sale, whether or not against the box, established any “put equivalent position” (as defined in Rule 16a-1(h) under the Exchange Act Act) with respect to the Common Stock, granted any other right (including, without limitation, any put or call option) with respect to the Common Stock or with respect to any security that includes, relates to or derived any significant part of its value from the Common Stock.

Appears in 1 contract

Samples: Form of Purchase Agreement (Cytrx Corp)

Short Sales. Prior During the thirty (30) days prior to the date hereof, the Purchaser has not taken, and prior to the public announcement of the transaction after the Closing the Purchaser shall not take, any action that has caused or will cause the Purchaser to have, directly or indirectly, sold or agreed to sell any shares of Common Stock, effected any short sale, whether or not against the box, established any “put equivalent position” (as defined in Rule 16a-1(h) under the Exchange Act with respect to the Common Stock, granted any other right (including, without limitation, any put or call option) with respect to the Common Stock or with respect to any security that includes, relates to or derived any significant part of its value from the Common Stock.

Appears in 1 contract

Samples: Purchase Agreement (Spark Networks Inc)

Short Sales. Prior to the date hereof, the Purchaser has not taken, and prior to the public announcement of the transaction after the Closing the Purchaser shall not take, any action that has caused or will cause the Purchaser to have, directly or indirectly, sold or agreed to sell any shares of Common Stock, effected any short sale, whether or not against the box, established any “put equivalent position” (as defined in Rule 16a-1(h) under the Exchange Act with respect to the Common Stock, granted any other right (including, without limitation, any put or call option) with respect to the Common Stock or with respect to any security that includes, relates to or derived any significant part of its value from the Common Stock. The Company and each of the Purchasers acknowledge and agree that no party to this Agreement has made or makes any representations or warranties with respect to the transactions contemplated hereby other than those specifically set forth in this Article III and the Transaction Documents.

Appears in 1 contract

Samples: Registration Rights Agreement (Leap Therapeutics, Inc.)

Short Sales. Prior to the date hereof, the Purchaser has not taken, and prior to the public announcement of the transaction after the Closing the Purchaser shall not take, any action that has caused or will cause the Purchaser to have, directly or indirectly, sold or agreed to sell any shares of Common Stock, effected any short sale, whether or not against the box, established any “put equivalent position” (as defined in Rule 16a-1(h) under the Exchange Act with respect to the Common Stock, granted any other right (including, without limitation, any put or call option)) with respect to the Common Stock or with respect to any security that includes, relates to or derived any significant part of its value from the Common Stock.

Appears in 1 contract

Samples: Subscription Agreement (Usa Technologies Inc)

Short Sales. Prior to the date hereof, the Purchaser Investor has not taken, and prior to the public announcement of the transaction after the Closing the Purchaser Investor shall not take, any action that has caused or will cause the Purchaser Investor to have, directly or indirectly, sold or agreed to sell any shares of Common Stock, effected any short sale, whether or not against the box, established any “put equivalent position” (as defined in Rule 16a-1(h) under the Exchange Act Act) with respect to the Common Stock, granted any other right (including, without limitation, any put or call option) with respect to the Common Stock or with respect to any security that includes, relates to or derived derives any significant part of its value from the Common Stock.

Appears in 1 contract

Samples: Securities Purchase Agreement (Trans1 Inc)

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Short Sales. Prior to Since the date hereoftime the Purchaser was first contacted about the offering of the Note and the transactions contemplated hereby, the Purchaser has not taken, and and, prior to the public announcement of the transaction after the Closing Time, the Purchaser shall not take, any action that has caused or will cause the Purchaser to have, directly or indirectly, sold or agreed to sell any shares of Common Stock, effected any short sale, whether or not against the box, established any “put equivalent position” (as defined in Rule 16a-1(h) under the Exchange Act Act) with respect to the shares of Common Stock, granted any other right (including, without limitation, any put or call option) with respect to the shares of Common Stock or with respect to any security that includes, relates to or derived derives any significant part of its value from the shares of Common Stock, in each case in violation of the Securities Act.

Appears in 1 contract

Samples: Note Purchase Agreement (Imprimis Pharmaceuticals, Inc.)

Short Sales. Prior to the date hereof, the Purchaser has not taken, and prior to the public announcement of the transaction after the Closing the Purchaser shall not take, any action that has caused or will cause the Purchaser to have, directly or indirectly, sold or agreed to sell any shares of Common Stock, effected any short sale, whether or not against the box, established any “put equivalent position” (as defined in Rule 16a-1(h) under the Exchange Act Act) with respect to the Common Stock, granted any other right (including, without limitation, any put or call option) with respect to the Common Stock or with respect to any security that includes, relates to to, or derived any significant part of its value from the Common Stock.

Appears in 1 contract

Samples: Purchase Agreement

Short Sales. Prior to From and after obtaining the date hereofknowledge of the transactions contemplated hereby, the Purchaser Buyer has not taken, and prior to the public announcement of the transaction after the Closing the Purchaser Buyer shall not take, any action that has caused or will cause the Purchaser Buyer to have, directly or indirectly, sold or agreed to sell any shares of Common Stock, effected any short sale, whether or not against the box, established any “put equivalent position” (as defined in Rule 16a-1(h) under the Exchange Act Act) with respect to the Common Stock, granted any other right (including, without limitation, any put or call option) with respect to the Common Stock or with respect to any security that includes, relates related to or derived derives any significant part of its value from the Common Stock, whether or not, direct or indirectly, in order to hedge its positions in the Common Stock.

Appears in 1 contract

Samples: Securities Purchase Agreement (Agfeed Industries, Inc)

Short Sales. Prior to From and after obtaining the date hereofknowledge of the sale of the Shares contemplated hereby, the such Purchaser has not taken, and prior to the public announcement of the transaction after the Closing the such Purchaser shall not take, any action that has caused or will cause the such Purchaser to have, directly or indirectly, sold or agreed to sell any shares of Common Stock, effected any short sale, whether or not against the box, established any "put equivalent position" (as defined in Rule 16a-1(h) under the Securities Exchange Act of 1934, as amended) with respect to the Common Stock, granted any other right (including, without limitation, any put or call option) with respect to the Common Stock or with respect to any security that includes, relates to or derived any significant part of its value from the Common Stock, whether or not, directly or indirectly, in order to hedge its position in the Shares.

Appears in 1 contract

Samples: Stock Purchase Agreement (Connetics Corp)

Short Sales. Prior After the date the Purchaser entered into a confidentiality undertaking with the Placement Agent with respect to the date hereoftransactions contemplated hereby, the Purchaser has not taken, and prior to the public announcement of the transaction after the Closing transaction, the Purchaser shall not take, any action that has caused or will cause the Purchaser to have, directly or indirectly, sold or agreed to sell any shares of Common Stock, effected any short salesale of Common Stock, whether or not against the box, established any "put equivalent position" (as defined in Rule 16a-1(h) under the Exchange Act Act) with respect to the Common Stock, granted any other right (including, without limitation, any put or call option) with respect to the Common Stock or with respect to any security that includes, relates to or derived any significant part of its value from the Common Stock.

Appears in 1 contract

Samples: Purchase Agreement (Flagstar Bancorp Inc)

Short Sales. Prior to Since the date hereoftime the Purchaser was first contacted about the offering of the Notes, the Purchaser has not taken, and prior to the public announcement of the transaction after the Closing the Purchaser shall not take, any action that has caused or will cause the Purchaser to have, directly or indirectly, sold or agreed to sell any shares of Common Stock, effected any short sale, whether or not against the box, established any “put equivalent position” (as defined in Rule 16a-1(h) under the Exchange Act Act) with respect to the Common Stock, granted any other right (including, without limitation, any put or call option) with respect to the Common Stock or with respect to any security that includes, relates to or derived any significant part of its value from the Common Stock.

Appears in 1 contract

Samples: Note Purchase Agreement (ZaZa Energy Corp)

Short Sales. Prior to Between the date hereof, time such Purchaser obtained knowledge of the Purchaser has not taken, proposed sale of the Securities contemplated hereby and prior to 30 days following the public announcement of the transaction after the Closing the transaction, such Purchaser shall has not take, taken and will not take any action that has caused or will cause the such Purchaser to have, directly or indirectly, sold or agreed to sell any shares of Common Stock, effected any short sale, whether or not against the box, established any “put equivalent position” (as defined in Rule 16a-1(h) under the Securities Exchange Act of 1934, as amended) with respect to the Common Stock, granted any other right (including, without limitation, any put or call option) with respect to the Common Stock or with respect to any security that includes, relates to or derived any significant part of its value from the Common Stock.

Appears in 1 contract

Samples: Securities Purchase Agreement (North American Scientific Inc)

Short Sales. Prior to the date hereof, the Purchaser has I have not taken, and prior to the public announcement of the transaction after the Closing the Purchaser closing I shall not take, any action that has caused or will cause the Purchaser me to have, directly or indirectly, sold or agreed to sell any shares of Common Stockcommon stock, effected any short sale, whether or not against the box, established any “put equivalent position” (as defined in Rule 16a-1(h) under the Securities Exchange Act of 1934 with respect to the Common Stockcommon stock, granted any other right (including, without limitation, any put or call option) with respect to the Common Stock common stock or with respect to any security that includes, relates to or derived any significant part of its value from the Common Stockcommon stock.

Appears in 1 contract

Samples: Subscription Agreement (Helix Technologies, Inc.)

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