Common use of Regulation M Compliance Clause in Contracts

Regulation M Compliance. Except as set forth on Schedule 3.1(kk), the Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to any placement agent in connection with the placement of the Securities.

Appears in 7 contracts

Samples: Securities Purchase Agreement (Rennova Health, Inc.), Securities Purchase Agreement (Rennova Health, Inc.), Securities Purchase Agreement (Rennova Health, Inc.)

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Regulation M Compliance. Except as set forth on Schedule 3.1(kk), the The Company has not, and to its knowledge no one acting on its behalf (excluding the Placement Agent) has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to any placement agent the Placement Agent in connection with the placement of the Securities.

Appears in 6 contracts

Samples: Placement Agency Agreement (ARCA Biopharma, Inc.), Placement Agency Agreement (ARCA Biopharma, Inc.), Letter Agreement (ARCA Biopharma, Inc.)

Regulation M Compliance. Except as set forth on Schedule 3.1(kk), the Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to any the Company’s placement agent in connection with the placement of the Securities.

Appears in 4 contracts

Samples: Securities Purchase Agreement (Rennova Health, Inc.), Securities Purchase Agreement (Rennova Health, Inc.), Securities Purchase Agreement (Rennova Health, Inc.)

Regulation M Compliance. Except as set forth on Schedule 3.1(kk3.1(jj), the Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to any the Company’s placement agent in connection with the placement of the Securities.

Appears in 4 contracts

Samples: Securities Purchase Agreement (UFood Restaurant Group, Inc.), Securities Purchase Agreement (UFood Restaurant Group, Inc.), Securities Purchase Agreement (UFood Restaurant Group, Inc.)

Regulation M Compliance. Except as set forth on Schedule 3.1(kk3.1(gg), the Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to any the Company’s placement agent in connection with the placement of the Securities.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Biocept Inc), Securities Purchase Agreement (Biocept Inc), Securities Purchase Agreement (Biocept Inc)

Regulation M Compliance. Except as set forth on Schedule 3.1(kk3.1(ii), the Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to any the Company’s placement agent in connection with the placement of the Securities.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Histogen Inc.), Securities Purchase Agreement (Histogen Inc.), Securities Purchase Agreement (Histogen Inc.)

Regulation M Compliance. Except as set forth on Schedule 3.1(kk)disclosed in the SEC Reports, the Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to any the Company’s placement agent in connection with the placement of the Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Biocept Inc), Securities Purchase Agreement (Biocept Inc)

Regulation M Compliance. Except as set forth on Schedule 3.1(kk3.1(gg), the Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to any the Company’s placement agent in connection with the placement of the SecuritiesShares.

Appears in 1 contract

Samples: Securities Purchase Agreement (Biocept Inc)

Regulation M Compliance. Except as set forth on Schedule 3.1(kk2.1(dd), the Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to any placement agent in connection with the placement of the Securities.

Appears in 1 contract

Samples: Note Purchase Agreement (AzurRx BioPharma, Inc.)

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Regulation M Compliance. Except as set forth on Schedule 3.1(kk3.1(ii), the Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to any placement agent the Placement Agent in connection with the placement of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Histogen Inc.)

Regulation M Compliance. Except as set forth on Schedule 3.1(kk3.1(jj), the Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, securities of the Company or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to any the Company’s placement agent in connection with the placement of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Cryoport, Inc.)

Regulation M Compliance. Except as set forth on Schedule 3.1(kk3.1(jj), the Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to any placement agent in connection with the placement of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (AzurRx BioPharma, Inc.)

Regulation M Compliance. Except as set forth on Schedule 3.1(kk), the The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) except as set forth on Schedule 3.1(kk), sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to any placement agent the Company’s Placement Agent in connection with the placement of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Icad Inc)

Regulation M Compliance. Except as set forth on Schedule 3.1(kk), the The Company has not, and to its the best knowledge of the Company or the Company Representatives, no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), except as set forth on Schedule 3.1(jj), compensation paid to any the Company’s placement agent in connection with the placement of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Imaging Diagnostic Systems Inc /Fl/)

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