FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 292 contracts
Sources: Underwriting Agreement (Artelo Biosciences, Inc.), Underwriting Agreement (Palisade Bio, Inc.), Underwriting Agreement (Salarius Pharmaceuticals, Inc.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an Underwritera FINRA member firm.
Appears in 38 contracts
Sources: Underwriting Agreement (Farmmi, Inc.), Underwriting Agreement (Farmmi, Inc.), Underwriting Agreement (Seachange International Inc)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 510% or greater shareholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 28 contracts
Sources: Underwriting Agreement (Niocorp Developments LTD), Underwriting Agreement (HeartBeam, Inc.), Underwriting Agreement (Niocorp Developments LTD)
FINRA. The Except as disclosed in the Registration Statement and the Prospectus, the Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 8 contracts
Sources: Underwriting Agreement (Jupiter Neurosciences, Inc.), Underwriting Agreement (Jupiter Neurosciences, Inc.), Underwriting Agreement (Jupiter Neurosciences, Inc.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 510% or greater shareholder of the Company becomes an affiliate or associated person of an Underwritera Participating Member.
Appears in 8 contracts
Sources: Underwriting Agreement (CardieX LTD), Underwriting Agreement (Benitec Biopharma Inc.), Underwriting Agreement (Benitec Biopharma Inc.)
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is becomes aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an UnderwriterFINRA member participating in the distribution of the Securities.
Appears in 7 contracts
Sources: Underwriting Agreement (Puyi, Inc.), Underwriting Agreement (Agm Group Holdings, Inc.), Underwriting Agreement (Hexindai Inc.)
FINRA. The On or before Closing, the Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 6 contracts
Sources: Underwriting Agreement (U.S. GoldMining Inc.), Underwriting Agreement (U.S. GoldMining Inc.), Underwriting Agreement (U.S. GoldMining Inc.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 6 contracts
Sources: Underwriting Agreement (Coeptis Therapeutics Holdings, Inc.), Underwriting Agreement (Hancock Jaffe Laboratories, Inc.), Underwriting Agreement (Newgioco Group, Inc.)
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is becomes aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of an UnderwriterFINRA member participating in the distribution of the Securities.
Appears in 5 contracts
Sources: Underwriting Agreement (Second Sight Medical Products Inc), Underwriting Agreement (Energous Corp), Underwriting Agreement (Ideal Power Inc.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any five percent (5% %) or greater shareholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 4 contracts
Sources: Underwriting Agreement (Tenon Medical, Inc.), Underwriting Agreement (Algernon Pharmaceuticals Inc.), Underwriting Agreement (Algernon Pharmaceuticals Inc.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 510% or greater shareholder of the Company becomes an affiliate or associated person of an Underwritera FINRA member firm.
Appears in 4 contracts
Sources: Underwriting Agreement (BIT ORIGIN LTD), Underwriting Agreement (Meten Holding Group Ltd.), Underwriting Agreement (Greenland Technologies Holding Corp.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any officer, director, 5% or greater shareholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 4 contracts
Sources: Underwriting Agreement (iMedia Brands, Inc.), Underwriting Agreement (iMedia Brands, Inc.), Underwriting Agreement (Bio Key International Inc)
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an UnderwriterFINRA member participating in the distribution of the Placement Shares.
Appears in 3 contracts
Sources: Underwriting Agreement (Fuling Global Inc.), Underwriting Agreement (Fuling Global Inc.), Underwriting Agreement (Fuling Global Inc.)
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is aware that any 510% or greater shareholder of the Company becomes an affiliate or associated person of an Underwritera FINRA member firm.
Appears in 3 contracts
Sources: Underwriting Agreement (BiondVax Pharmaceuticals Ltd.), Underwriting Agreement (BiondVax Pharmaceuticals Ltd.), Underwriting Agreement (China SXT Pharmaceuticals, Inc.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 510% or greater shareholder stockholder of the Company becomes an affiliate or associated person of an UnderwriterUnderwriter prior to the consummation of the Offering.
Appears in 3 contracts
Sources: Underwriting Agreement (Clarus Therapeutics Holdings, Inc.), Underwriting Agreement (Clarus Therapeutics Holdings, Inc.), Underwriting Agreement (Clarus Therapeutics Holdings, Inc.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5officer, director or 10% or greater shareholder stockholder of the Company becomes an affiliate or associated person of an UnderwriterUnderwriter prior to the consummation of the Offering.
Appears in 3 contracts
Sources: Underwriting Agreement (Aclarion, Inc.), Underwriting Agreement (Aclarion, Inc.), Underwriting Agreement (Aclarion, Inc.)
FINRA. The Company shall advise the Underwriters Managing Underwriter (who shall make an appropriate filing with FINRA) if it is becomes aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of an UnderwriterFINRA member participating in the distribution of the Securities.
Appears in 3 contracts
Sources: Underwriting Agreement (Ideal Power Inc.), Underwriting Agreement (Ideal Power Inc.), Underwriting Agreement (Ideal Power Inc.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% five percent (5.0%) or greater shareholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 3 contracts
Sources: Underwriting Agreement (Virax Biolabs Group LTD), Underwriting Agreement (Virax Biolabs Group LTD), Underwriting Agreement (Virax Biolabs Group LTD)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 510% or greater shareholder of the Company becomes an affiliate or associated person of an UnderwriterUnderwriter prior to the consummation of the Offering.
Appears in 3 contracts
Sources: Underwriting Agreement (Dermata Therapeutics, Inc.), Underwriting Agreement (NeuroSense Therapeutics Ltd.), Underwriting Agreement (Dermata Therapeutics, Inc.)
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is becomes aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of an Underwritera FINRA member participating in the distribution of the Securities.
Appears in 2 contracts
Sources: Underwriting Agreement (Parametric Sound Corp), Underwriting Agreement (Parametric Sound Corp)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate Affiliate or associated person of an Underwriter.
Appears in 2 contracts
Sources: Underwriting Agreement (Zosano Pharma Corp), Underwriting Agreement (Salarius Pharmaceuticals, Inc.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an UnderwriterUnderwriter prior to the earlier of the termination of this Agreement or the 60-day period after the Effective Date.
Appears in 2 contracts
Sources: Underwriting Agreement (Rubico Inc.), Underwriting Agreement (Icon Energy Corp)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person Person of an Underwriter.
Appears in 2 contracts
Sources: Underwriting Agreement (Lannister Mining Corp.), Underwriting Agreement (Genasys Inc.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any five percent (5% %) or greater shareholder of the Company becomes an affiliate or associated person of an Underwritera FINRA member firm.
Appears in 2 contracts
Sources: Underwriting Agreement (Protalex Inc), Underwriting Agreement (CYREN Ltd.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an Underwriter.. 4.13
Appears in 1 contract
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate Affiliate or associated person Person of an Underwritera FINRA member firm.
Appears in 1 contract
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is becomes aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an UnderwriterFINRA member participating in the distribution of the Ordinary Shares.
Appears in 1 contract
Sources: Underwriting Agreement (Wah Fu Education Group LTD)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any officer, director, or five percent (5% %) or greater shareholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 1 contract
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an Underwritera FINRA member firm prior to the period during which the Representative can exercise the over-allotment option.
Appears in 1 contract
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5officer, director or 10% or greater shareholder stockholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 1 contract
Sources: Underwriting Agreement (Perma Fix Environmental Services Inc)
FINRA. The Company and each Selling Stockholder shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 1 contract
Sources: Underwriting Agreement (AquaBounty Technologies, Inc.)
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an the Underwriter.
Appears in 1 contract
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is aware that any 510% or greater shareholder of the Company becomes an affiliate or associated person of an Underwriterthe Underwriter prior to the consummation of the Offering.
Appears in 1 contract
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is aware knows that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an UnderwriterFINRA member participating in the distribution of the Securities.
Appears in 1 contract
Sources: Underwriting Agreement (MDJM LTD)
FINRA. The Company shall advise the Underwriters Representative (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 1 contract
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 510% or greater shareholder of the Company becomes an affiliate or associated person Person of an Underwriter.
Appears in 1 contract
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is becomes aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of an Underwritera FINRA member participating in the distribution of the Securities.
Appears in 1 contract
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an UnderwriterFINRA member participating in the distribution of the Best Efforts Shares.
Appears in 1 contract
Sources: Underwriter Agreement (Dogness (International) Corp)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 510% or greater shareholder of the Company becomes an affiliate or associated person of an Underwriter.a FINRA member firm.
Appears in 1 contract
Sources: Underwriting Agreement (China Xiangtai Food Co., Ltd.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% additional five percent or greater shareholder stockholder of the Company becomes an affiliate or associated person of an Underwritera FINRA member firm.
Appears in 1 contract
Sources: Underwriting Agreement (S&W Seed Co)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 510% or greater shareholder stockholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 1 contract
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any officer, director or 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 1 contract
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is aware has knowledge that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of an Underwriterany FINRA member participating in the distribution of the Securities.
Appears in 1 contract
Sources: Underwriting Agreement (Imprimis Pharmaceuticals, Inc.)