Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company (other than for services as employees, officers and directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 14 contracts
Sources: Securities Purchase Agreement (NeuroBo Pharmaceuticals, Inc.), Securities Purchase Agreement (DermTech, Inc.), Securities Purchase Agreement (Pieris Pharmaceuticals, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors) ), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 14 contracts
Sources: Securities Purchase Agreement (Rallybio Corp), Securities Purchase Agreement (Rallybio Corp), Subscription Agreement (E-Waste Corp.)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsPreviously Disclosed, none of the executive officers or directors of the Company or its subsidiaries and, to the knowledge of the Company’s Knowledge, none of the employees of the Company or its subsidiaries is presently a party to any transaction with the Company or any subsidiary (other than for services as employees, officers and directors) that would be directors required to be disclosed pursuant to under Item 404 of Regulation S-K promulgated under the Securities Exchange Act).
Appears in 13 contracts
Sources: Securities Purchase Agreement (Amyris, Inc.), Exchange Agreement (Amyris, Inc.), Securities Purchase Agreement (Total S.A.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the knowledge of the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors) ), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 13 contracts
Sources: Securities Purchase Agreement (Pure Bioscience, Inc.), Securities Purchase Agreement (Pure Bioscience, Inc.), Securities Purchase Agreement (Pure Bioscience, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the knowledge of the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors) ), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 8 contracts
Sources: Securities Purchase Agreement (Q BioMed Inc.), Securities Purchase Agreement (Mri Interventions, Inc.), Securities Purchase Agreement (Q BioMed Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none None of the executive officers or directors of the Company and, to the Company’s Knowledgeknowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or to a transaction contemplated by the Company (other than for services as employees, officers and directors) that would be required to be disclosed by the Company pursuant to Item 404 of Regulation S-K promulgated under the Securities Act, except as set forth in the SEC Reports.
Appears in 8 contracts
Sources: Securities Purchase Agreement (Avinger Inc), Securities Purchase Agreement (T2 Biosystems, Inc.), Securities Purchase Agreement
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors) ), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act that has not otherwise been appropriately disclosed in accordance with the Exchange Act.
Appears in 7 contracts
Sources: Securities Purchase Agreement (Biofrontera Inc.), Subscription Agreement (Organogenesis Holdings Inc.), Securities Purchase Agreement (Biofrontera Inc.)
Transactions With Affiliates and Employees. Except as set forth in the Company’s SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors) ), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 6 contracts
Sources: Securities Purchase Agreement (Fluent, Inc.), Securities Purchase Agreement (Fluent, Inc.), Securities Purchase Agreement (Fluent, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none None of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or to a presently contemplated transaction (other than for services as employees, officers and directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act, except as contemplated by the Transaction Documents or set forth in the SEC Reports.
Appears in 6 contracts
Sources: Securities Purchase Agreement (Torchlight Energy Resources Inc), Securities Purchase Agreement (Torchlight Energy Resources Inc), Securities Purchase Agreement (Ignyta, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none None of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or to a transaction presently contemplated by the Company (other than for services as employees, officers and directors) that would be required to be disclosed by the Company pursuant to Item 404 of Regulation S-K promulgated under the Securities Act, except as contemplated by the Transaction Documents or set forth in the SEC Reports.
Appears in 5 contracts
Sources: Securities Purchase Agreement (Corindus Vascular Robotics, Inc.), Securities Purchase Agreement (Hudson Executive Capital LP), Securities Purchase Agreement (Corindus Vascular Robotics, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors) ), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 4 contracts
Sources: Securities Purchase Agreement (Mri Interventions, Inc.), Securities Purchase Agreement (Wheeler Real Estate Investment Trust, Inc.), Securities Purchase Agreement (Wheeler Real Estate Investment Trust, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports or on Schedule 3.1(t) and other than the grant of stock options or other equity awards, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or to a presently contemplated transaction (other than for services as employees, officers and directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 4 contracts
Sources: Securities Purchase Agreement (Berkshire Hills Bancorp Inc), Securities Purchase Agreement (Wesbanco Inc), Securities Purchase Agreement (Firstsun Capital Bancorp)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company (other than for services as employees, officers and directors) ), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 4 contracts
Sources: Securities Purchase Agreement, Securities Purchase Agreement (OncoMed Pharmaceuticals Inc), Securities Purchase Agreement (Tengion Inc)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports made on or prior to the date hereof, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary or to a presently contemplated transaction (other than for services as employees, officers and directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 4 contracts
Sources: Securities Purchase Agreement (Jones Soda Co), Securities Purchase Agreement (International Fight League, Inc.), Securities Purchase Agreement (International Fight League, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports and except with respect to the transactions contemplated hereunder, none of the executive officers or directors of the Company and, to the knowledge of the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors) ), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 4 contracts
Sources: Note Purchase Agreement (Pure Bioscience, Inc.), Note Purchase Agreement (Pure Bioscience, Inc.), Note Purchase Agreement (Pure Bioscience, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports made on or prior to the date hereof, none of the executive officers or directors of the Company and, to the Company’s Knowledgeknowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Significant Subsidiary or to a presently contemplated transaction (other than for ordinary course services as employees, officers and directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 3 contracts
Sources: Securities Purchase Agreement (Vyyo Inc), Securities Purchase Agreement (Vyyo Inc), Securities Purchase Agreement (Vyyo Inc)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company or any Subsidiary and, to the knowledge of the Company’s Knowledge, none of the employees of the Company or any Subsidiary is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors) that ), which would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 3 contracts
Sources: Securities Purchase Agreement (Fennec Pharmaceuticals Inc.), Securities Purchase Agreement (Fennec Pharmaceuticals Inc.), Securities Purchase Agreement (Mri Interventions, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors) ), that would be required to be disclosed pursuant to Item Rule 404 of Regulation S-K promulgated under the Securities Act that has not otherwise been appropriately disclosed in accordance with the Exchange Act.
Appears in 3 contracts
Sources: Securities Purchase Agreement (Cidara Therapeutics, Inc.), Securities Purchase Agreement (Vigil Neuroscience, Inc.), Securities Purchase Agreement (Cidara Therapeutics, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors) directors or loans made in compliance with Federal Reserve Regulation O in the ordinary course of the Bank’s business), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 3 contracts
Sources: Securities Purchase Agreement (Blue Ridge Bankshares, Inc.), Securities Purchase Agreement (Blue Ridge Bankshares, Inc.), Securities Purchase Agreement (Blue Ridge Bankshares, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsDocuments, to the Company’s knowledge, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or to a presently contemplated transaction (other than for services as employees, officers and directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 3 contracts
Sources: Stock Purchase Agreement (Clearsign Combustion Corp), Stock Purchase Agreement, Stock Purchase Agreement (T2 Biosystems, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company or any Subsidiary and, to the knowledge of the Company’s Knowledge, none of the employees of the Company or any Subsidiary is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors) directors that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 3 contracts
Sources: Securities Purchase Agreement (David P. Perry 2015 Trust), Securities Purchase Agreement (Better Therapeutics, Inc.), Securities Purchase Agreement (Better Therapeutics, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports and except as contemplated by the Transaction Documents, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors) ), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 3 contracts
Sources: Securities Purchase Agreement (Ribbon Communications Inc.), Securities Purchase Agreement (Ribbon Communications Inc.), Securities Purchase Agreement (Ribbon Communications Inc.)
Transactions With Affiliates and Employees. Except as set forth or incorporated by reference in the Company’s SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledgeknowledge, none of the employees of the Company is presently a party to any transaction with the Company (other than for ordinary course services as employees, officers and or directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Zosano Pharma Corp), Securities Purchase Agreement (Zosano Pharma Corp)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none None of the executive officers or directors of the Company and, to the Company’s Knowledgeknowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or to a transaction contemplated by the Company (other than for services as employees, officers and directors) that would be required to be disclosed by the Company pursuant to Item 404 of Regulation S-K promulgated under the Securities Act, except as contemplated by the Transaction Documents or set forth in the Company’s SEC Filings.
Appears in 2 contracts
Sources: Subscription Agreement (Enumeral Biomedical Holdings, Inc.), Subscription Agreement (Enumeral Biomedical Holdings, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsFilings made on or prior to the date hereof, none of the executive officers or directors of the Company and, to the Company’s Knowledgeknowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary or to a presently contemplated transaction (other than for services as employees, officers and directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (China Lodging Group, LTD), Securities Purchase Agreement (China Lodging Group, LTD)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company or any Subsidiary and, to the Company’s Knowledge, none of the employees of the Company or any Subsidiary, is presently a party to any transaction with the Company or any Subsidiary or to a presently contemplated transaction (other than for services as employees, officers officers, and directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 2 contracts
Sources: Stock Purchase Agreement (Riverview Financial Corp), Stock Purchase Agreement (HCSB Financial Corp)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none None of the executive officers or directors of the Company and, to the Company’s Knowledgeknowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or to a presently contemplated transaction (other than for services as employees, officers and directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act, except as contemplated by the Loan Documents or set forth in the SEC Reports.
Appears in 2 contracts
Sources: Secured Note Purchase Agreement, Secured Note Purchase Agreement (Cardica Inc)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports made on or prior to the date hereof, none of the executive officers or directors of the Company and, to the Company’s Knowledgeknowledge, none of the employees of the Company is presently a party to any transaction with the Company or to a presently contemplated transaction (other than for services as employees, officers and directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 2 contracts
Sources: Stock Purchase Agreement (Clearant Inc), Series a Preferred Stock Purchase Agreement (Neah Power Systems, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports or Schedule 3.1(r), none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors) ), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Unicycive Therapeutics, Inc.), Securities Purchase Agreement (Unicycive Therapeutics, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports and other than the grant of stock options or other equity awards, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or to a presently contemplated transaction (other than for services as employees, officers and directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (SCBT Financial Corp), Securities Purchase Agreement (Renasant Corp)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or to a presently contemplated transaction (other than for services as employees, officers and directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Titan Pharmaceuticals Inc), Securities Purchase Agreement (Wonder Auto Technology, Inc)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none None of the executive officers or directors of the Company and, to the Company’s Knowledgeknowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or to a transaction presently contemplated by the Company (other than for services as employees, officers and directors) that would be required to be disclosed by the Company pursuant to Item 404 of Regulation S-K promulgated under the Securities Act, except as contemplated by the Transaction Documents or set forth in the SEC Reports.
Appears in 2 contracts
Sources: Subscription Agreement (Miramar Labs, Inc.), Subscription Agreement (Miramar Labs, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, executive officers and directors) ), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.K.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Baxano Surgical, Inc.), Securities Purchase Agreement (Baxano Surgical, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledgeknowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors) ), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 2 contracts
Sources: Subscription Agreement (Blue Star Foods Corp.), Purchase Agreement (WaferGen Bio-Systems, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports made on or prior to the date hereof, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary or to a presently contemplated transaction (other than for services as employees, officers and directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K B promulgated under the Securities Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (HydroGen CORP), Securities Purchase Agreement (HydroGen CORP)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsDisclosure Materials, none of the executive officers officers, directors or directors Affiliates of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors) ), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities ActAct for any reporting period.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Strongbridge Biopharma PLC), Securities Purchase Agreement (Strongbridge Biopharma PLC)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none None of the executive officers or directors of the Company and, to the knowledge of the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company (other than for services as employees, officers and directors) ), that would be required to be disclosed as of the date hereof in an SEC Report pursuant to the requirements of Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Sources: Securities Purchase Agreement (Regenerx Biopharmaceuticals Inc)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none None of the executive officers or directors of the Company and, to the knowledge of the Company’s Knowledge, none of the employees of the Company is presently or was a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors) that would be required to be disclosed as of the date hereof in an SEC Report pursuant to the requirements of Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Sources: Securities Purchase Agreement (Sumtotal Systems Inc)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports or as disclosed in Schedule 3.1(r), none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company (other than for services as employees, officers and directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Sources: Stock and Warrant Purchase Agreement (Stereotaxis, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or to a presently contemplated transaction (other than for services as employees, officers and directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Sources: Securities Purchase Agreement (Pinnacle Data Systems Inc)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, executive officers and directors) ), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Sources: Securities Purchase Agreement (Athersys, Inc / New)
Transactions With Affiliates and Employees. Except for the Private Placement and as set forth in the SEC Reports, none of the executive officers or directors of the Company or any Subsidiary and, to the knowledge of the Company’s Knowledge, none of the employees of the Company or any Subsidiary is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors) directors that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Sources: Securities Purchase Agreement (Better Therapeutics, Inc.)
Transactions With Affiliates and Employees. Except for the private placement and as set forth in the SEC Reports, none of the executive officers or directors of the Company or any Subsidiary and, to the knowledge of the Company’s Knowledge, none of the employees of the Company or any Subsidiary is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors) directors that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Sources: Securities Purchase Agreement (Better Therapeutics, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none None of the executive officers officers, directors or directors security holders of the Company (or any Affiliate of any such officer, director or security holder) and, to the Company’s Knowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company (other than for services as employees, officers and directors) or to a presently contemplated transaction that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act, except as contemplated by the Transaction Documents or set forth in the SEC Reports.
Appears in 1 contract
Sources: Securities Purchase Agreement (COMMITTED CAPITAL ACQUISITION Corp)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company or any Subsidiary and, to the Company’s Knowledge, none of the employees of the Company or any Subsidiary is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Sources: Securities Purchase Agreement (Twinlab Consolidated Holdings, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers officers, directors, employees or directors of the Company and, to the Company’s Knowledge, none of the employees Affiliates of the Company is presently a party to any contract, arrangement or transaction with the Company or any of its Subsidiaries or to a presently contemplated contract, arrangement or transaction (other than for services as employees, officers and directors) ), in any such case that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers officers, directors, employees or directors of the Company and, to the Company’s Knowledge, none of the employees Affiliates of the Company is presently a party to any contract, arrangement or transaction with the Company or any of its Subsidiaries or to a presently contemplated contract, arrangement or transaction (other than for services as employees, officers and directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company or its Subsidiaries and, to the Company’s Knowledge, none of the employees of the Company or its Subsidiaries is presently a party to any transaction with the Company or any Subsidiary (other than for ordinary course services as employees, officers and directors) ), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Sources: Securities Purchase Agreement (Anthera Pharmaceuticals Inc)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company or any Subsidiary and, to the knowledge of the Company’s Knowledge, none of the employees of the Company or any Subsidiary is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors) that would be required to be disclosed pursuant to Item Section 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company (other than for services as employees, officers and directors) ), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Sources: Securities Purchase Agreement (Kythera Biopharmaceuticals Inc)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive Affiliates, officers or directors of the Company or any Subsidiary and, to the Company’s Knowledge, none of the employees of the Company or any Subsidiary, is presently a party to any transaction with the Company or any Subsidiary or to a presently contemplated transaction (other than for services as employees, officers officers, and directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Sources: Securities Purchase Agreement (Pathfinder Bancorp, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledgeknowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors) ), that would be required to be disclosed pursuant to Item Rule 404 of Regulation S-K promulgated under the Securities Act that has not otherwise been appropriately disclosed in accordance with the Exchange Act.
Appears in 1 contract
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledge, and none of the employees of the Company is presently a party to any transaction with the Company or to a presently contemplated transaction (other than for services as employees, officers and directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Sources: Securities Purchase Agreement (Celator Pharmaceuticals Inc)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports made on or prior to the date hereof, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or the Subsidiary or to a presently contemplated transaction (other than for services as employees, officers and directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any subsidiary (other than for services as employees, officers and directors) ), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Sources: Securities Purchase Agreement (Avadel Pharmaceuticals PLC)
Transactions With Affiliates and Employees. Except as set forth disclosed in the SEC ReportsDocuments, none of the executive officers or directors of the Company or its subsidiaries and, to the knowledge of the Company’s Knowledge, none of the employees of the Company or its subsidiaries is presently a party to any transaction with the Company or any subsidiary (other than for services as employees, officers and directors) that would be directors required to be disclosed pursuant to under Item 404 of Regulation S-K promulgated under the Securities Exchange Act).
Appears in 1 contract
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports made on or prior to the date hereof, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or any Subsidiary or to a presently contemplated transaction (other than for services as employees, officers and directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledgeknowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors) ), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act and the Exchange Act.
Appears in 1 contract
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the knowledge of the Company’s Knowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or any Affiliate of the Company (other than for services as employees, officers and directors) ), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company (other than for services as employees, officers and directors) ), that would be required to be disclosed in the SEC Reports pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Sources: Securities Purchase Agreement (Gemphire Therapeutics Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports made on or prior to the date hereof, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any of its Subsidiaries or to a presently contemplated transaction (other than for services as employees, officers and directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Sources: Securities Purchase Agreement (Tutogen Medical Inc)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction (or to a presently contemplated transaction) with the Company or any Subsidiary (other than for services as employees, officers and directors) ), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Sources: Securities Purchase Agreement (ImmunoCellular Therapeutics, Ltd.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Sources: Backstop Securities Agreement (Rehabcare Group Inc)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none None of the executive officers or directors of the Company and its Subsidiaries and, to the Company’s Knowledge, none of the employees of the Company and its Subsidiaries, is presently a party to any transaction with the Company or any of its Subsidiaries or to a presently contemplated transaction (other than for services as employees, officers and directors) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act, except as contemplated by the Transaction Documents or set forth in the SEC Reports.
Appears in 1 contract