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 after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of 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 after receipt of payment for the Common Stock Placement Shares 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 9 contracts
Samples: At Market Issuance Sales Agreement (XOMA Corp), Sales Agreement (Cyclacel Pharmaceuticals, Inc.), Common Stock Sales Agreement (IsoRay, 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 after receipt of payment for the Common Stock Placement Shares will not be, an “investment company” within the meaning of 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 after receipt of payment for the Common Stock Shares 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 8 contracts
Samples: Underwriting Agreement (Gander Mountain Co), Underwriting Agreement (Nuvasive Inc), 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”,” which term, as used herein, includes the rules and regulations of the Commission promulgated thereunder). The Company is not, and after receipt of payment for the Common Stock Securities will not be, an “investment company” within the meaning of 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 after receipt of payment for the Common 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”). The Company is not, and will not be, either after receipt of payment for the Common Stock will not beShares or after the application of the proceeds therefrom as described under “Use of Proceeds” in 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 Agreement (Pluristem Therapeutics Inc), Open Market Sale Agreement (Pluristem Therapeutics Inc), Open Market Sale Agreement (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 immediately after receipt of payment for the Common Stock Shares will not be, an “investment company” or an entity “controlled” by an “investment company” within the meaning of 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 after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of 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 after receipt of payment for the Common Stock Shares 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 (Capital Lodging), Underwriting Agreement (Nuvasive Inc), 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”,” which term, as used herein, includes the rules and regulations of the Commission promulgated thereunder). The Company is not, and after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of 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 after receipt of payment for the rules and requirements under Shares 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, and after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of Investment Company Act.
Appears in 4 contracts
Samples: Sales Agreement (22nd Century Group, Inc.), Sales Agreement (Aclaris Therapeutics, Inc.), Open Market Sale Agreement (Aclaris 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 after receipt of payment for the Common Stock Securities 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 (Cpi Aerostructures Inc), Underwriting Agreement (Cpi Aerostructures Inc), Underwriting Agreement (Cpi Aerostructures Inc)
Company Not an “Investment Company. The Company has been advised is not, and after receipt of payment for the rules and requirements under Common Shares 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, and after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of Investment Company Act.
Appears in 3 contracts
Samples: Underwriting Agreement (Molina Healthcare Inc), Underwriting Agreement (Molina Healthcare Inc), Underwriting Agreement (Caci International 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”"). The Company is not, and after receipt of payment for the Common Stock Shares 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 (McCormick & Schmicks Seafood Restaurants Inc.), Underwriting Agreement (McCormick & Schmicks Seafood Restaurants Inc.), Underwriting Agreement (Spirit Finance 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 Act”).The Company is not, and after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of 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 after receipt of payment for the Common Stock Offered Shares 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: Underwriting Agreement (Warren Resources Inc), Underwriting Agreement (Active Network Inc), Underwriting Agreement (Sanders Morris Harris 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 after receipt of payment for the Common 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: 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 Company is not, and after receipt of payment for the Common Stock Shares 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: Underwriting Agreement (Novatel Wireless Inc), Underwriting Agreement (Acadia Pharmaceuticals 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 after receipt of payment for the Common Stock 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 3 contracts
Samples: Purchase Agreement (California Steel Industries Inc), Purchase Agreement (Chattem Canada Holdings Inc), Purchase Agreement (Speedway Motorsports 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 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 after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of Investment Company Act.
Appears in 3 contracts
Samples: Sales Agreement (Zymeworks Inc.), Open Market Sale Agreement (Zymeworks BC Inc.), Open Market Sale Agreement (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 is not, and after receipt of payment for the Common Stock Offered Shares will not be, an “investment company” within the meaning of 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 1940, as amended (the “Investment Company Act”). The Company is not, and immediately after receipt of payment for the Common Stock Shares will not be, an “investment company” within the meaning of the Investment Company Act and 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 of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended. The Company is not, and immediately after receipt of payment for the Common Stock Notes will not be, required to register as an “investment company” within under the meaning of Investment Company ActAct of 1940, as amended.
Appears in 2 contracts
Samples: Note Purchase 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 (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock 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: Sales Agreement (Tobira Therapeutics, Inc.), Sales Agreement (Alimera 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 after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of Investment Company ActAct of 1940, as amended.
Appears in 2 contracts
Samples: Sales Agreement (Glycomimetics Inc), Sales Agreement (Glycomimetics 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 after receipt of payment for the Common Stock Placement Shares will not be, an “investment company” within the meaning of 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 after receipt of payment for the Common Stock Shares 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 (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 after receipt of payment for the Common Stock Securities 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 after receipt of payment for the Common Stock 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 (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 after receipt of payment for the Common Stock Shares will not be, an “"investment company” " within the meaning of Investment Company ActAct of 1940.
Appears in 1 contract
Samples: Underwriting Agreement (Corporatefamily Solutions Inc)
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 or after receipt of payment for the Common Stock Notes will not be, an “"investment company” " within the meaning of the Investment Company 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 after receipt of payment for the Common Stock will not be, be required to register as an “"investment company” within " under the meaning of 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”,” 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 after receipt of payment for the Common Stock Securities will not be, an “investment company” within the meaning of 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 immediately after receipt of payment for the Common Stock Notes and Warrants will not be, an “investment company” within the meaning of the Investment Company Act.
Appears in 1 contract
Samples: Note and Warrant Purchase Agreement (Neurologix 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”)amended. The Company is not, and immediately after receipt of payment for the Common Stock Notes will not be, an “investment company” within the meaning of of, and required to be registered under, the Investment Company ActAct of 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”"). The Company is not, and after receipt of payment for the Common Stock 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 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 after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of the Investment Company Act 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 after receipt of payment for the Common Stock Offered Shares 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
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 or after receipt of payment for the Common Stock Securities will not be, an “investment company” within the meaning of the Investment Company 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 after receipt of payment for the Common Stock will not bebe required to register as, an “investment company” within the meaning of 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 after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of Investment Company Act.Act of 1940, as amended.
Appears in 1 contract
Samples: Sales Agreement (Glycomimetics 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 receipt of payment for the Common Stock will not be, be required to register as an “investment company” within the meaning of Investment Company ActAct of 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 immediately after receipt of payment for the Common Stock Offered Shares will not be, an “investment company” within the meaning of 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 after receipt of payment for the Common Stock will not be, 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”)amended. The Company is not, and immediately after receipt of payment for the Common Stock Notes will not be, an “investment company” within the meaning of the Investment Company ActAct of 1940, as amended.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised is not, and after receipt of payment for the rules and requirements under Common Stock pursuant to this Agreement 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, and after receipt of payment for the Common Stock will conduct its business in a manner so that it will not be, an “investment company” within become subject to the meaning of 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 immediately after receipt of payment for the Common Stock Preferred Shares will not be, an “investment company” or an entity “controlled” by an “investment company” within the meaning of 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 after receipt of payment for the Common Stock Shares 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 after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of Investment Company Act.
Appears in 1 contract
Samples: Sales Agreement (Atreca, 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 receipt of payment for the Common Stock Shares will not be, an “"investment company” " within the meaning of 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 after receipt of payment for the Common Stock Shares will not be, an “investment company” within the meaning of 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 after receipt of payment for the Common Stock Shares will not be, an “investment company” within the meaning of 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 after receipt of payment for the Common Stock Notes will 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 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 after receipt of payment for the Common Stock Shares will not be, an “"investment company” " within the meaning of Investment Company Act and will not take any action that it would cause it to 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 immediately after receipt of payment for the Common Stock Securities will not be, an “"investment company” " or an entity "controlled" by an "investment company" within the meaning of the Investment Company Act.
Appears in 1 contract
