Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 16 contracts
Samples: Underwriting Agreement (Velti PLC), Underwriting Agreement (Ardea Biosciences, Inc./De), Underwriting Agreement (Proto Labs Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended amended, and the rules and regulations promulgated thereunder (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after Securities and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectus, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it Prospectus will not become subject be required to be registered under the Investment Company Act.
Appears in 14 contracts
Samples: Equity Distribution Agreement (Whitestone REIT), Equity Distribution Agreement (Whitestone REIT), Equity Distribution Agreement (Whitestone REIT)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable ProspectusCommon Stock will not be, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 11 contracts
Samples: Sales Agreement (scPharmaceuticals Inc.), Sales Agreement (Nautilus Biotechnology, Inc.), Sales Agreement (Nautilus Biotechnology, Inc.)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Placement Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectuswill not be, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 9 contracts
Samples: Sales Agreement (Cyclacel Pharmaceuticals, Inc.), Sales Agreement (IsoRay, Inc.), Common Stock (Organovo Holdings, Inc.)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended amended, and the rules and regulations promulgated thereunder (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after Notes and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectusthe Disclosure Package and the Prospectus will not be, required to register as an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 9 contracts
Samples: Underwriting Agreement (Perkinelmer Inc), Underwriting Agreement (Perkinelmer Inc), Perkinelmer Inc
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is notnot and, after giving effect to the offering and will not be, either after receipt sale of payment for the Offered Shares or after and the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, will not be required to register as an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended, and will not be an entity “controlled” by an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company such Act.
Appears in 8 contracts
Samples: Underwriting Agreement (Neurocrine Biosciences Inc), Underwriting Agreement (Neurocrine Biosciences Inc), Underwriting Agreement (Sequenom Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Placement Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectuswill not be, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 8 contracts
Samples: Sales Agreement (Syndax Pharmaceuticals Inc), Sales Agreement (Syndax Pharmaceuticals Inc), Sales Agreement (Syndax Pharmaceuticals Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and will not be, either after receipt of payment for the Offered Common Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectuswill not be, an “"investment company” " within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 8 contracts
Samples: Underwriting Agreement (Nuvasive Inc), Underwriting Agreement (Gander Mountain Co), Underwriting Agreement (Gart Sports Co)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable the Prospectus, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 7 contracts
Samples: Open Market Sale (Pluristem Therapeutics Inc), Open Market Sale (Pluristem Therapeutics Inc), Open Market Sale (Arbutus Biopharma Corp)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either immediately after receipt of payment for the Offered Shares will not be, an “investment company” or after the application of the proceeds therefrom as described under an entity “Use of Proceedscontrolled” in each Applicable Prospectus, by an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 7 contracts
Samples: Stock Purchase Agreement (MiNK Therapeutics, Inc.), Stock Purchase Agreement (Syros Pharmaceuticals, Inc.), Stock Purchase Agreement (Syros Pharmaceuticals, Inc.)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable ProspectusCommon Stock will not be, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 7 contracts
Samples: Sales Agreement (Anthera Pharmaceuticals Inc), Sales Agreement (Transition Therapeutics Inc.), Sales Agreement (EnteroMedics Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”,” which term, as used herein, includes the rules and regulations of the Commission promulgated thereunder). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable ProspectusSecurities will not be, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 7 contracts
Samples: Underwriting Agreement (Cit Group Inc), Underwriting Agreement (Cit Group Inc), Underwriting Agreement (Cit Group Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable ProspectusCommon Stock will not be, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 6 contracts
Samples: Sales Agreement (Cabaletta Bio, Inc.), Sales Agreement (Cabaletta Bio, Inc.), Sales Agreement (Aptinyx Inc.)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Common Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectuswill not be, an “investment company” within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 6 contracts
Samples: Underwriting Agreement (Nuvasive Inc), Underwriting Agreement (Capital Lodging), Underwriting Agreement (Nuvasive Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectusof the preliminary prospectus and the Prospectus will not be, an “investment company” within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 6 contracts
Samples: Underwriting Agreement (McCormick & Schmicks Seafood Restaurants Inc.), Underwriting Agreement (Atossa Genetics Inc), Underwriting Agreement (Atossa Genetics Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable the Registration Statement, the Time of Sale Prospectus and the Prospectus, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 6 contracts
Samples: Underwriting Agreement (Acadia Pharmaceuticals Inc), Underwriting Agreement (Acadia Pharmaceuticals Inc), Underwriting Agreement (Acadia Pharmaceuticals Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not benot, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, be, an “investment company” within the meaning of Investment Company Act and will will, during the Prospectus Delivery Period, conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 5 contracts
Samples: Underwriting Agreement (Celldex Therapeutics, Inc.), Underwriting Agreement (Celldex Therapeutics, Inc.), Underwriting Agreement (Celldex Therapeutics, Inc.)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”,” which term, as used herein, includes the rules and regulations of the Commission promulgated thereunder). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 5 contracts
Samples: Underwriting Agreement (Graphic Packaging Holding Co), Underwriting Agreement (Graphic Packaging Holding Co), Underwriting Agreement (Clayton Dubilier & Rice Fund v L P)
Company Not an “Investment Company. The Company has been advised is not, and will not, either after receipt of payment for the Placement Shares or after the application of the rules and requirements proceeds therefrom as described under “Use of Proceeds” in the Prospectus, be, required to register as an “investment company” or an entity “controlled” by an “investment company” under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 5 contracts
Samples: Sales Agreement (Dynavax Technologies Corp), Sales Agreement (Dynavax Technologies Corp), Dynavax Technologies Corp
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”,” which term, as used herein, includes the rules and regulations of the Commission promulgated thereunder). The Neither the Company is notnor any of the Guarantors is, and will not be, either or after receipt of payment for the Offered Shares or after Securities and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectusof the Preliminary Prospectus and the Prospectus will be, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 4 contracts
Samples: Underwriting Agreement (Graphic Packaging Holding Co), Underwriting Agreement (Graphic Packaging Holding Co), Underwriting Agreement (Graphic Packaging Holding Co)
Company Not an “Investment Company. The Company has been advised is not, and will not be, either after receipt of payment for the Shares or after the application of the rules and requirements proceeds therefrom as described under “Use of Proceeds” in the Prospectus, required to register as an “investment company” under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 4 contracts
Samples: Open Market Sale (Fuelcell Energy Inc), Open Market Sale (Fuelcell Energy Inc), Minerva Neurosciences, Inc.
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the Notes and application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable the Preliminary Prospectus and the Prospectus, will not be, required to register as an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 4 contracts
Samples: Underwriting Agreement (Fluor Corp), Underwriting Agreement (Fluor Corp), Underwriting Agreement (Fluor Corp)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended amended, and the rules and regulations promulgated thereunder (the “Investment Company Act”). The Company is not, and nor will not be, either after receipt of payment for the Offered Shares or after Securities and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectusthe Disclosure Package and the Final Prospectuses, required to register as an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 4 contracts
Samples: Underwriting Agreement (Bce Inc), Underwriting Agreement (Bce Inc), Underwriting Agreement (Bce Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Common Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectuswill not be, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Samples: Underwriting Agreement (Acadia Pharmaceuticals Inc), Underwriting Agreement (Novatel Wireless Inc), Underwriting Agreement (Aeroflex Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either immediately after receipt of payment for the Offered Shares or after and the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable ProspectusWarrants will not be, an “investment company” within the meaning of the Investment Company Act and will shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Vertical Communications, Inc.), Securities Purchase Agreement (Vertical Communications, Inc.), Securities Purchase Agreement (Vertical Communications, Inc.)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable ProspectusSecurities will not be, an “"investment company” " within the meaning of the Investment Company Act Act, and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Samples: Underwriting Agreement (Cpi Aerostructures Inc), Underwriting Agreement (Cpi Aerostructures Inc), Underwriting Agreement (Cpi Aerostructures Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable the Prospectus, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Samples: Underwriting Agreement (BeyondSpring Inc.), Underwriting Agreement (BeyondSpring Inc.), Underwriting Agreement (BeyondSpring Inc.)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and will not be, either after receipt of payment for the Offered Common Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectuswill not be, an “"investment company” " within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Samples: Underwriting Agreement (Spirit Finance Corp), Underwriting Agreement (McCormick & Schmicks Seafood Restaurants Inc.), McCormick & Schmicks Seafood Restaurants Inc.
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectusof the Preliminary Prospectus and the Prospectus will not be, an “investment company” within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Samples: Underwriting Agreement (Derma Sciences, Inc.), Underwriting Agreement (Derma Sciences, Inc.), Underwriting Agreement (Derma Sciences, Inc.)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended amended, and the rules and regulations of the SEC thereunder (collectively, the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares Securities or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable the Registration Statement, the Time of Sale Prospectus and the Prospectus, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Samples: Underwriting Agreement (Green Plains Inc.), Underwriting Agreement (Green Plains Inc.), Underwriting Agreement (Green Plains Inc.)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable ProspectusSecurities will not be, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Samples: Purchase Agreement (California Steel Industries Inc), Purchase Agreement (Speedway Motorsports Inc), Purchase Agreement (Chattem Canada Holdings Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Samples: Sales Agency Agreement (Chicago Bridge & Iron Co N V), Sales Agency Agreement (Evergreen Energy Inc), Agent Agreement (Raser Technologies Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable the Registration Statement or the Prospectus, required to register as an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to under the Investment Company Act.
Appears in 3 contracts
Samples: Cti Biopharma Corp, Cti Biopharma Corp, Cti Biopharma Corp
Company Not an “Investment Company. The Company has been advised is not and, after giving effect to the offering and sale of the rules Shares and requirements under the application of the proceeds thereof as described in the Prospectus, will not be an “investment company” as defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Samples: Sales Agreement (Zymeworks Inc.), Zymeworks BC Inc., Zymeworks Inc.
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company and each of its subsidiaries is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectuswill not be, an “"investment company” " within the meaning of Investment Company Act and will conduct its business in a manner so that it is not, and after receipt of payment of the Offered Shares will not become subject to be, an entity "controlled" by and "investment company" within the meaning of the Investment Company Act.
Appears in 3 contracts
Samples: Pioneer Drilling Co, Pioneer Drilling Co, Pioneer Drilling Co
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after Notes and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectusthe Disclosure Package and the Prospectus will not be, required to register as an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Samples: Underwriting Agreement (Flir Systems Inc), Underwriting Agreement (Flir Systems Inc), Underwriting Agreement (Flir Systems Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Samples: Underwriting Agreement (Chuy's Holdings, Inc.), Underwriting Agreement (Chuy's Holdings, Inc.), Underwriting Agreement (Red Robin Gourmet Burgers Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Act”).The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable ProspectusCommon Stock will not be, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Samples: Sales Agreement (Synlogic, Inc.), Sales Agreement (Synlogic, Inc.), Sales Agreement (Synlogic, Inc.)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectuswill not be, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Samples: Underwriting Agreement (Warren Resources Inc), Underwriting Agreement (Sanders Morris Harris Group Inc), Underwriting Agreement (Active Network Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after Units and the application of the proceeds therefrom as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectusof the preliminary prospectus and the Prospectus will not be, an “investment company” within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Samples: Underwriting Agreement (Quantum Group Inc /Fl), Underwriting Agreement (Quantum Group Inc /Fl), Underwriting Agreement (Quantum Group Inc /Fl)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended amended, and the rules and regulations promulgated thereunder (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after Notes and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectusthe Disclosure Package and the Final Offering Memorandum will not be, an “investment company” within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Purchase Agreement (Jakks Pacific Inc), Purchase Agreement (Salix Pharmaceuticals LTD)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and will not be, either after receipt of payment for the Offered Placement Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectuswill not be, an “"investment company” " within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Equity Distribution Agreement (EuroDry Ltd.), Common Stock (Innovate Biopharmaceuticals, Inc.)
Company Not an “Investment Company. The Company has been advised by its legal counsel of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the and application of the proceeds therefrom as described thereof contemplated under “Use of Proceeds” in each Applicable Prospectusof the Disclosure Package and the Prospectus will not be, an “investment company” within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Underwriting Agreement (Wireless Ronin Technologies Inc), Underwriting Agreement (Wireless Ronin Technologies Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the Notes and application of the proceeds therefrom as described under “"Use of Proceeds” " in each Applicable Prospectusthe Disclosure Package and the Final Offering Memorandum will not be, an “"investment company” " within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.. 8
Appears in 2 contracts
Samples: Purchase Agreement (Spartan Stores Inc), Spartan Stores Inc
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and will not be, either after receipt giving effect to the sale of payment for the Offered Shares or after Units and the application of the proceeds therefrom thereof as described under “Use of Proceeds” in each Applicable the Prospectus, will not be, an “"investment company” " within the meaning of the Investment Company Act Act, and agrees that it will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Underwriting Agreement (Grout Dianna), Underwriting Agreement (Unity Emerging Technology Venture One LTD)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after Units and the application of the proceeds therefrom thereof as described contemplated under “the caption "Use of Proceeds” " in each Applicable Prospectusof the preliminary prospectus and the Prospectus will not be, an “"investment company” " within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Ascent Solar Technologies, Inc., Syngence Corp
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”,” which term, as used herein, includes the rules and regulations of the Commission promulgated thereunder). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act, nor will it be after giving effect to the offering and sale of the Shares.
Appears in 2 contracts
Samples: Agreement (Graphic Packaging Holding Co), Agreement (Graphic Packaging Holding Co)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable ProspectusSecurities will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”) and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Guided Therapeutics Inc), Securities Purchase Agreement (Guided Therapeutics Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either immediately after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectuswill not be, an “investment company” within the meaning of the Investment Company Act and will shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Stock Purchase Agreement (Artisoft Inc), Stock Purchase Agreement (Artisoft Inc)
Company Not an “Investment Company. The Company has been advised is not, and after receipt of payment for the Shares will not be, and after the application of the rules proceeds thereof and requirements under the consummation of the Transactions will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not,” which term, as used herein, includes the rules and will not be, either after receipt of payment for the Offered Shares or after the application regulations of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company ActCommission promulgated thereunder).
Appears in 2 contracts
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”,” which term, as used herein, includes the rules and regulations of the Commission promulgated thereunder). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, Securities will not be an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Delhaize Group, Delhaize Group
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectusthe Disclosure Package and the Prospectus will not be, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Underwriting Agreement (Eurand N.V.), Underwriting Agreement (Eurand N.V.)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Placement Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectuswill not be, an “investment company” within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Sales Agreement (Flux Power Holdings, Inc.), Sales Agreement (aTYR PHARMA INC)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended. The Company is not, and will not be, either immediately after receipt of payment for the Offered Shares or after the application of the proceeds therefrom Notes will not be, required to register as described under “Use of Proceeds” in each Applicable Prospectus, an “investment company” within under the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Actof 1940, as amended.
Appears in 2 contracts
Samples: Escrow Agreement (Providence Service Corp), Note Purchase Agreement (Providence Service Corp)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended amended, and the rules and regulations promulgated thereunder (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectus, an “investment company” within the meaning of preliminary prospectus and the Prospectus will not be required to be registered under the Investment Company Act and will conduct its business in a manner so that it will not become subject be required to register as an “investment company” pursuant to the Investment Company Act.
Appears in 2 contracts
Samples: Underwriting Agreement (Whitestone REIT), Underwriting Agreement (Whitestone REIT)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended amended, and the rules and regulations promulgated thereunder (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectuswill not be, an “investment company,” or an entity “controlled” by an “investment company,” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Underwriting Agreement (Nuvelo Inc), Underwriting Agreement (Novastar Financial Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after Units and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectusthe Registration Statement and the Prospectus will not be, an “investment company” within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Underwriting Agreement (ProUroCare Medical Inc.), Underwriting Agreement (ProUroCare Medical Inc.)
Company Not an “Investment Company. The Company has been advised by its counsel of the rules and requirements under the U.S. Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectuswill not be, an “"investment company” " or an entity "controlled" by an "investment company" within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Purchase Agreement (Rigel Pharmaceuticals Inc), Purchase Agreement (Rigel Pharmaceuticals Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Company Shares or after and the application of the proceeds therefrom thereof as described contemplated under “Use of Proceeds” in each Applicable Prospectusthe Prospectus will not be, an “investment company” within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Underwriting Agreement (MWI Veterinary Supply, Inc.), Underwriting Agreement (MWI Veterinary Supply, Inc.)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after Securities and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectusof the Preliminary Prospectus and the Prospectus will not be, an “investment company” within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Underwriting Agreement (Derma Sciences, Inc.), Underwriting Agreement (Derma Sciences, Inc.)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectusthe Prospectus will not be, an “investment company” within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Global Traffic Network, Inc., Global Traffic Network, Inc.
Company Not an “Investment Company. The Company has been advised is not, and after giving effect to the offering and sale of the rules and requirements under Shares will not be, required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”,” which term, as used herein, includes the rules and regulations promulgated thereunder). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Vertiv Holdings Co, Vertiv Holdings Co
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, an “investment company” within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Underwriting Agreement (Horizon Pharma PLC), Underwriting Agreement (McCormick & Schmicks Seafood Restaurants Inc.)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and will not be, either immediately after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectuswill not be, an “"investment company” " or an entity "controlled" by an "investment company" within the meaning of the Investment Company Act and will shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Convertible Preferred Stock Purchase Agreement (Fastnet Corp), Subscription Agreement (Miller Industries Inc /Tn/)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Placement Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectuswill not be, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Sales Agreement (Marathon Patent Group, Inc.), Common Stock Sales Agreement (Us Energy Corp)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"), as related to the offering. The Company is not, and will not be, either after receipt of payment for the Offered Common Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectuswill not be, an “"investment company” " within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Underwriting Agreement (Coldwater Creek Inc), Underwriting Agreement (Coldwater Creek Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectuswill not be, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Underwriting Agreement (Accentia Biopharmaceuticals Inc), Underwriting Agreement (Accentia Biopharmaceuticals Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 19401940 (as amended, as amended (the “Investment Company Act”,” which term, as used herein, includes the rules and regulations of the Commission promulgated thereunder). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable ProspectusNotes will not be, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Samples: Purchase Agreement (Delhaize Group)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectuswill not be, an “investment company” within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended amended, and the rules and regulations promulgated thereunder (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after Notes and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectusthe Disclosure Package and the Final Offering Memorandum will not be, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and will not be, either immediately after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectuswill not be, an “"investment company” " within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended amended, and the rules and regulations promulgated thereunder (the “Investment Company Act”). The Company is not, and after application of the net proceeds from the Offered Shares as described in the Prospectus will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, an “investment company,” or an entity “controlled” by an “investment company,” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectuswill not be, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Samples: Sales Agreement (Pixelworks, Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, an “investment company” within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to of 1940, as amended (the “Investment Company Act”).
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectuswill not be, an “"investment company” " within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after Securities and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectus, the Preliminary Prospectus and the Prospectus will not be required to register as an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended. The Company is not, and will not be, either immediately after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable ProspectusNotes will not be, an “"investment company” " within the meaning of of, and required to be registered under, the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Actof 1940, as amended.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares Company ADSs or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and will not be, either immediately after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable ProspectusSecurities will not be, an “"investment company” " or an entity "controlled" by an "investment company" within the meaning of the Investment Company Act and will shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, not and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, an “investment company” within the meaning of Investment Company Act of 1940, as amended (the “Investment Company Act”) and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares Notes or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectustherefrom, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act. Annex B-11.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended. The Company is not, and will not be, either immediately after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable ProspectusNotes will not be, an “investment company” within the meaning of of, and required to be registered under, the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Actof 1940, as amended.
Appears in 1 contract
Samples: Note Purchase Agreement (Harman International Industries Inc /De/)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”,” which term, as used herein, includes the rules and regulations of the Commission promulgated thereunder). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after Securities and the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectusthe Offering Memorandum, will not be, required to be registered as an “investment company” within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to registration under the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised --------------------------------- of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectuswill not be, an “"investment company” " within the meaning of the Investment Company Act Act, and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”) and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either or after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable ProspectusSecurities will not be, an “investment company” within the meaning of the Investment Company Act Act, and the Company will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Samples: Purchase Agreement (Nexstar Broadcasting Group Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and immediately after the purchase and sale of the Shares will not be, either after receipt of payment for an “investment company” or, to the Offered Shares or after the application knowledge of the proceeds therefrom as described under Company, an entity “Use of Proceedscontrolled” in each Applicable Prospectus, by an “investment company” within the meaning of the Investment Company Act and will shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Samples: Stock Purchase Agreement (Advanced Life Sciences Holdings, Inc.)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either immediately after receipt of payment for the Offered Shares Units will not be, an “Investment Company” or after the application of the proceeds therefrom as described under an entity “Use of Proceedscontrolled” in each Applicable Prospectus, by an “investment company” within the meaning of the Investment Company Act and will shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and will not be, either based upon the accuracy of Purchaser's representations immediately after receipt of payment for the Offered Notes, the Shares or after and the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable ProspectusWarrants will not be, an “"investment company” " or an entity "controlled" by an "investment company" within the meaning of the Investment Company Act and will shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares Securities or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The To the best knowledge of the Company, the Company is not, and will not be, either immediately after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectuswill not be, an “"investment company” " or an entity "controlled" by an "investment company" within the meaning of the Investment Company Act and will shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Samples: Stock Purchase Agreement (Vitacube Systems Holdings Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “"Use of Proceeds” " in each Applicable Prospectus, an “"investment company” " within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after and the application of the proceeds therefrom thereof as described contemplated under “the heading "Use of Proceeds” " in each Applicable Prospectusthe preliminary prospectus and the Prospectus will not be, an “"investment company” " within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Samples: Ellora Energy Inc
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either immediately after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectuswill not be, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Samples: Underwriting Agreement (Curis Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Placement Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable the Prospectus, an “investment company” within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has and its subsidiaries have been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Neither the Company is notnor any of its subsidiaries is, and will not be, either or after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable ProspectusNotes will be, an “"investment company” " within the meaning of the Investment Company Act Act, and each of the Company and its subsidiaries will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Samples: Underwriting Agreement (Chattem Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and will not be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectuswill not be, an “"investment company” " within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Samples: KFX Inc
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Common Shares or after the and application of such proceeds in the proceeds therefrom as manner described in the Prospectus under “Use of Proceeds” in each Applicable Prospectuswill not be, an “investment company” within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered 2,000,000 Shares or after issued by the Company and application of the proceeds therefrom as described in the Prospectus under “Use of Proceeds” in each Applicable Prospectuswill not be, an “investment company” within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
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Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Offered Shares Securities or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable the Registration Statement, the Time of Sale Prospectus or the Prospectus, required to register as an “investment company” within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
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