FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 116 contracts
Sources: Underwriting Agreement (Empro Group Inc.), Underwriting Agreement (RanMarine Technology B.V.), Underwriting Agreement (Marwynn Holdings, Inc.)
FINRA. For a period of 90 60 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 92 contracts
Sources: Underwriting Agreement (BGIN BLOCKCHAIN LTD), Underwriting Agreement (BILLION GROUP HOLDINGS LTD), Underwriting Agreement (BGIN BLOCKCHAIN LTD)
FINRA. For a period of 90 ninety (90) days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the original Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA)Participating Member.
Appears in 29 contracts
Sources: Underwriting Agreement (Libera Gaming Operations, Inc), Underwriting Agreement (Libera Gaming Operations, Inc), Underwriting Agreement (Logprostyle Inc.)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing DateDate (if any), the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 26 contracts
Sources: Underwriting Agreement (Texxon Holding LTD), Underwriting Agreement (Megan Holdings Ltd.), Underwriting Agreement (ELC Group Holdings Ltd.)
FINRA. For a period of 90 ninety (90) days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the original Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 24 contracts
Sources: Underwriting Agreement (Maverick Lifestyle Inc.), Underwriting Agreement (RoyaLand Co Ltd.), Underwriting Agreement (Primech Holdings LTD)
FINRA. For a period of 90 180 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 21 contracts
Sources: Underwriting Agreement (Vitro Biopharma, Inc.), Underwriting Agreement (FG Financial Group, Inc.), Underwriting Agreement (FG Financial Group, Inc.)
FINRA. For a period of 90 ninety (90) days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the original Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 20 contracts
Sources: Underwriting Agreement (CaliberCos Inc.), Underwriting Agreement (CaliberCos Inc.), Underwriting Agreement (Asset Entities Inc.)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 15 contracts
Sources: Underwriting Agreement (SIBO HOLDING LTD), Underwriting Agreement (HWH International Inc.), Underwriting Agreement (Linkage Global Inc)
FINRA. For a period of 90 sixty (60) days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 15 contracts
Sources: Underwriting Agreement (Propanc Biopharma, Inc.), Underwriting Agreement (Propanc Biopharma, Inc.), Underwriting Agreement (Propanc Biopharma, Inc.)
FINRA. For a period of 90 60 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 15 contracts
Sources: Underwriting Agreement (Acco Group Holdings LTD), Underwriting Agreement (Acco Group Holdings LTD), Underwriting Agreement (Uptrend Holdings LTD)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 15 contracts
Sources: Underwriting Agreement (KWESST Micro Systems Inc.), Underwriting Agreement (PaxMedica, Inc.), Underwriting Agreement (PaxMedica, Inc.)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the original filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 13 contracts
Sources: Underwriting Agreement (Lead Real Estate Co., LTD), Underwriting Agreement (Lead Real Estate Co., LTD), Underwriting Agreement (Lead Real Estate Co., LTD)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative Underwriter (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the original filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 11 contracts
Sources: Underwriting Agreement (BRB Foods Inc.), Underwriting Agreement (BRB Foods Inc.), Underwriting Agreement (BRB Foods Inc.)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware has knowledge that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement Statement, is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 11 contracts
Sources: Underwriting Agreement (Arch Therapeutics, Inc.), Underwriting Agreement (Arch Therapeutics, Inc.), Underwriting Agreement (Aclarion, Inc.)
FINRA. For a period of 90 60 days from the later of the Closing Date or Date, except as described in the Option Closing DateRegistration Statement, the Pricing Disclosure Package and the Prospectus, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 9 contracts
Sources: Underwriting Agreement (Nano Nuclear Energy Inc.), Underwriting Agreement (Nano Nuclear Energy Inc.), Underwriting Agreement (Nano Nuclear Energy Inc.)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing DateDate (if any), the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 9 contracts
Sources: Underwriting Agreement (Heart Test Laboratories, Inc.), Underwriting Agreement (Document Security Systems Inc), Underwriting Agreement (Document Security Systems Inc)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative Representatives (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 9 contracts
Sources: Underwriting Agreement (XINXU COPPER INDUSTRY TECHNOLOGY LTD), Underwriting Agreement (Caring Brands, Inc.), Underwriting Agreement (Caring Brands, Inc.)
FINRA. For a period of 90 180 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative Representatives (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the original filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 6 contracts
Sources: Underwriting Agreement (Guardion Health Sciences, Inc.), Underwriting Agreement (Guardion Health Sciences, Inc.), Underwriting Agreement (Guardion Health Sciences, Inc.)
FINRA. For a period of 90 sixty (60) days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 6 contracts
Sources: Underwriting Agreement (Charming Medical LTD), Underwriting Agreement (Barentsz Capital LTD), Underwriting Agreement (Charming Medical LTD)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the original Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 5 contracts
Sources: Underwriting Agreement (Alset EHome International Inc.), Underwriting Agreement (Jupiter Wellness, Inc.), Underwriting Agreement (Alset EHome International Inc.)
FINRA. For a period of 90 ninety (90) days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative Representatives (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the original Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 5 contracts
Sources: Underwriting Agreement (Hempacco Co., Inc.), Underwriting Agreement (Hempacco Co., Inc.), Underwriting Agreement (CaliberCos Inc.)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing DateDate (if any), the Company shall advise the Representative Underwriter (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 5 contracts
Sources: Underwriting Agreement (Nuvve Holding Corp.), Underwriting Agreement (Bynd Cannasoft Enterprises Inc.), Underwriting Agreement (GlucoTrack, Inc.)
FINRA. For a period of 90 ninety (90) days from after the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the original Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 5 contracts
Sources: Underwriting Agreement (Mangoceuticals, Inc.), Underwriting Agreement (Mangoceuticals, Inc.), Underwriting Agreement (Unifoil Holdings, Inc.)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 days immediately preceding the original filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 5 contracts
Sources: Underwriting Agreement (SeqLL, Inc.), Underwriting Agreement (Guardion Health Sciences, Inc.), Underwriting Agreement (HUI YING FINANCIAL HOLDINGS Corp)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware has knowledge that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement Statement, is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 4 contracts
Sources: Underwriting Agreement (THUMZUP MEDIA Corp), Underwriting Agreement (THUMZUP MEDIA Corp), Underwriting Agreement (Data443 Risk Mitigation, Inc.)
FINRA. For a period of 90 days day from the later of the Closing Date or the Option Opinion Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 4 contracts
Sources: Underwriting Agreement (Vivakor, Inc.), Underwriting Agreement (Vivakor, Inc.), Underwriting Agreement (Pasithea Therapeutics Corp.)
FINRA. For a period of 90 ninety (90) days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 4 contracts
Sources: Underwriting Agreement (Atlas Lithium Corp), Underwriting Agreement (Atlas Lithium Corp), Underwriting Agreement (Atlas Lithium Corp)
FINRA. For a period of 90 60 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 4 contracts
Sources: Underwriting Agreement (LQR House Inc.), Underwriting Agreement (LQR House Inc.), Underwriting Agreement (LQR House Inc.)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the original Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 4 contracts
Sources: Underwriting Agreement (HF Enterprises Inc.), Underwriting Agreement (HF Enterprises Inc.), Underwriting Agreement (HF Enterprises Inc.)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Sources: Underwriting Agreement (Fit Boxx Holdings LTD), Underwriting Agreement (Skillful Craftsman Education Technology LTD), Underwriting Agreement (Skillful Craftsman Education Technology LTD)
FINRA. For a period of 90 180 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Sources: Underwriting Agreement (Vision Marine Technologies Inc.), Underwriting Agreement (Vision Marine Technologies Inc.), Underwriting Agreement (Vision Marine Technologies Inc.)
FINRA. For a period of 90 ninety (90) days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative Underwriter (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the original Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Sources: Underwriting Agreement (mF International LTD), Underwriting Agreement (mF International LTD), Underwriting Agreement (mF International LTD)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative Representatives (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Sources: Underwriting Agreement (Janover Inc.), Underwriting Agreement (Janover Inc.), Underwriting Agreement (Janover Inc.)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative Underwriter (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Sources: Underwriting Agreement (Bone Biologics Corp), Underwriting Agreement (Bone Biologics Corp), Underwriting Agreement (Versus Systems Inc.)
FINRA. For a period of 90 days from the later of the Closing Date or the any Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Sources: Underwriting Agreement (Pineapple Financial Inc.), Underwriting Agreement (Pineapple Financial Inc.), Underwriting Agreement (Pineapple Financial Inc.)
FINRA. For a period of 90 ninety (90) days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative Representatives (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the original Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Sources: Underwriting Agreement (Fitell Corp), Underwriting Agreement (Fitell Corp), Underwriting Agreement (Fitell Corp)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Sources: Underwriting Agreement (Jupiter Wellness, Inc.), Underwriting Agreement (Jupiter Wellness, Inc.), Underwriting Agreement (PAVmed Inc.)
FINRA. For a period of 90 days from the later of the Closing Date or the any Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that that: (i) any officer or director of the Company, ; (ii) any owner of any class of the Company’s securities prior to the Offering; or (iii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Sources: Underwriting Agreement (Picard Medical, Inc.), Underwriting Agreement (Picard Medical, Inc.), Underwriting Agreement (Odysight.ai Inc.)
FINRA. For a period of 90 180 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA)Participating Member.
Appears in 3 contracts
Sources: Underwriting Agreement (EVmo, Inc.), Underwriting Agreement (EVmo, Inc.), Underwriting Agreement (EVmo, Inc.)
FINRA. For a period of 90 60 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Sources: Underwriting Agreement (World Road Inc.), Underwriting Agreement (Lianhe Sowell International Group LTD), Underwriting Agreement (Lianhe Sowell International Group LTD)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the original filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Sources: Underwriting Agreement (Toppoint Holdings Inc.), Underwriting Agreement (Toppoint Holdings Inc.), Underwriting Agreement (Toppoint Holdings Inc.)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Sources: Underwriting Agreement (Tonix Pharmaceuticals Holding Corp.), Underwriting Agreement (Intellipharmaceutics International Inc.), Underwriting Agreement (InspireMD, Inc.)
FINRA. For a period of 90 ninety (90) days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the original Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA)Participating Member.
Appears in 3 contracts
Sources: Underwriting Agreement (GATES GROUP Inc.), Underwriting Agreement (GATES GROUP Inc.), Underwriting Agreement (GATES GROUP Inc.)
FINRA. For a period of 90 60 days from the later of the First Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware has knowledge that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Sources: Underwriting Agreement (SU Group Holdings LTD), Underwriting Agreement (SU Group Holdings LTD), Underwriting Agreement (SU Group Holdings LTD)
FINRA. For a period of 90 sixty (60) days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Sources: Underwriting Agreement (Aduro Clean Technologies Inc.), Underwriting Agreement (Aduro Clean Technologies Inc.), Underwriting Agreement
FINRA. For a period of 90 days from the later of the Closing Date or and the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities securities, or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Sources: Underwriting Agreement (Brag House Holdings, Inc.), Underwriting Agreement (Brag House Holdings, Inc.), Underwriting Agreement (Brag House Holdings, Inc.)
FINRA. For a period of 90 60 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 one hundred eighty (180) days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Sources: Underwriting Agreement (Wellgistics Health, Inc.), Underwriting Agreement (Danam Health, Inc)
FINRA. For a period of 90 180 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRAFINRA (if required)) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Sources: Underwriting Agreement (cbdMD, Inc.), Underwriting Agreement (cbdMD, Inc.)
FINRA. For a period of 90 days from the later of the Closing Date or the final Option Closing Date, if any, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the original Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Sources: Underwriting Agreement (NuZee, Inc.), Underwriting Agreement (NuZee, Inc.)
FINRA. For a period of 90 ninety (90) days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the original Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Sources: Underwriting Agreement (Reticulate Micro, Inc.), Underwriting Agreement (CleanCore Solutions, Inc.)
FINRA. For a period of 90 sixty (60) days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative Representatives (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Sources: Underwriting Agreement (1847 Holdings LLC), Underwriting Agreement (1847 Holdings LLC)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware has knowledge that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement Statement, is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Sources: Underwriting Agreement (Park Ha Biological Technology Co., Ltd.), Underwriting Agreement (Park Ha Biological Technology Co., Ltd.)
FINRA. For a period of 90 60 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Sources: Underwriting Agreement (DatChat, Inc.), Underwriting Agreement (DatChat, Inc.)
FINRA. For a period of 90 ninety (90) days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative Representatives (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the original Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Sources: Underwriting Agreement (Golden Heaven Group Holdings Ltd.), Underwriting Agreement (Golden Heaven Group Holdings Ltd.)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Sources: Underwriting Agreement (Ideal Power Inc.), Underwriting Agreement (Ritter Pharmaceuticals Inc)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware has knowledge that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Sources: Underwriting Agreement (Trxade Group, Inc.), Underwriting Agreement (Trxade Group, Inc.)
FINRA. For a period of 90 60 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 one hundred eighty (180) days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Sources: Underwriting Agreement (Flewber Global Inc.), Underwriting Agreement (Flewber Global Inc.)
FINRA. For a period of 90 60 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 one hundred and eighty (180) days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Sources: Underwriting Agreement (Aureus Greenway Holdings Inc), Underwriting Agreement (Aureus Greenway Holdings Inc)
FINRA. For a period of 90 ninety (90) days from after the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative Representatives (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the original Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Sources: Underwriting Agreement (Know Labs, Inc.), Underwriting Agreement (Know Labs, Inc.)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Sources: Underwriting Agreement (CaliberCos Inc.), Underwriting Agreement (Aditxt, Inc.)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative Representatives (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Sources: Underwriting Agreement (WF International Ltd.), Underwriting Agreement (WF International Ltd.)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the original filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Sources: Underwriting Agreement (PeerStream, Inc.), Underwriting Agreement (PeerStream, Inc.)
FINRA. For a period of 90 ninety (90) days from the later of the Closing Date or and the Option Closing Date, if any, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, ; (ii) any beneficial owner of 5% or more of any class of the Company’s securities securities; or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the original Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Sources: Underwriting Agreement (Zhong Yuan Bio-Technology Holdings LTD), Underwriting Agreement (Zhong Yuan Bio-Technology Holdings LTD)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing DateDate (if any), the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Sources: Underwriting Agreement (Cel Sci Corp), Underwriting Agreement (Cel Sci Corp)
FINRA. For a period of 90 days from the later of the Closing Date or the last Option Closing Date, if any, the Company shall advise the Representative Underwriter (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities securities, or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Sources: Underwriting Agreement (ClearSign Technologies Corp), Underwriting Agreement (Manhattan Bridge Capital, Inc)
FINRA. For a period of 90 ninety (90) days from after the later of the Closing Date or the Option Closing DateDate (if any), the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Sources: Underwriting Agreement (Document Security Systems Inc), Underwriting Agreement (Document Security Systems Inc)
FINRA. For a period of 90 60 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative Underwriters (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Sources: Underwriting Agreement (Trident Digital Tech Holdings LTD), Underwriting Agreement (Trident Digital Tech Holdings LTD)
FINRA. For a period of 90 60 days from the later of the Closing Date or the any Option Closing Date, the Company shall advise the Representative Underwriter (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Sources: Underwriting Agreement (Rich Sparkle Holdings LTD), Underwriting Agreement (Rich Sparkle Holdings LTD)
FINRA. For a period of 90 ninety (90) days from after the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the original Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Sources: Underwriting Agreement (OS Therapies Inc), Underwriting Agreement (OS Therapies Inc)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware has knowledge that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement Statement, is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
Sources: Underwriting Agreement (Park Ha Biological Technology Co., Ltd.)
FINRA. For a period of 90 days from the later of the Closing Date or the any Option Closing Date, the Company shall advise the Representative Representatives (who shall make an appropriate filing with FINRA) if it is or becomes aware that that: (i) any officer or director of the Company, ; (ii) any beneficial owner of five percent (5% %) or more of any class of the Company’s securities securities; or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
FINRA. For a period of 90 ninety (90) days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 one hundred and eighty (180) days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
FINRA. For a period of 90 sixty (60) days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the original Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
Sources: Underwriting Agreement (ImmunoPrecise Antibodies Ltd.)
FINRA. For a period of 90 ninety (90) days from after the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the original Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
FINRA. For a period of 90 ninety (90) days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, ; (ii) any beneficial owner of 5% or more of any class of the Company’s securities securities; or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the original Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
Sources: Underwriting Agreement (Zhong Yuan Bio-Technology Holdings LTD)
FINRA. For a period of 90 ninety (90) days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
Sources: Underwriting Agreement (Presidio Property Trust, Inc.)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative Representatives (who shall make an appropriate filing with FINRA) if it is or becomes aware has knowledge that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement Statement, is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing DateDate (if any), the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
FINRA. For a period of 90 ninety (90) days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the original Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware has knowledge that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
FINRA. For a period of 90 sixty (60) days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative Representatives (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the original Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
FINRA. For a period of 90 sixty (60) days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the original Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the original Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
Sources: Underwriting Agreement (Alset EHome International Inc.)
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
Sources: Underwriting Agreement (Oculus Innovative Sciences, Inc.)
FINRA. For a period of 90 ninety (90) days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the original Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
FINRA. For a period of 90 30 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
Sources: Underwriting Agreement (KULR Technology Group, Inc.)
FINRA. For a period of 90 days from the later of the Closing Date or the last Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
FINRA. For a period of 90 days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member participating Participating Member in the Offering (as determined in accordance with the rules and regulations of FINRA)Offering.
Appears in 1 contract
Sources: Underwriting Agreement (G Medical Innovations Holdings Ltd.)
FINRA. For a period of 90 days twelve (12) months from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative Representatives (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 510% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 one hundred eighty (180) days immediately preceding the initial filing of the Registration Statement is or becomes an affiliate Affiliate or associated person Person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
Sources: Underwriting Agreement (Clean Energy Technologies, Inc.)
FINRA. For a period of 90 sixty (60) days from the later of the Closing Date or the Option Closing Date, the Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officer or director of the Company, (ii) any beneficial owner of 5% or more of any class of the Company’s securities or (iii) any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180 days immediately preceding the filing of the original Registration Statement is or becomes an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
Sources: Underwriting Agreement (Gameverse Interactive Corp)