Company Not an “Investment Company. The Company is not, and after giving effect to payment for the Offered Securities and the application of the proceeds as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 106 contracts
Samples: Underwriting Agreement (New Century Logistics (BVI) LTD), Underwriting Agreement (Agape ATP Corp), Underwriting Agreement (Global Engine Group Holding 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 after giving effect to receipt of payment for the Offered Securities Notes and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package Preliminary Prospectus and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 22 contracts
Samples: Underwriting Agreement (Amphenol Corp /De/), Underwriting Agreement (Church & Dwight Co Inc /De/), Underwriting Agreement (Church & Dwight Co Inc /De/)
Company Not an “Investment Company. The Company is not, and after giving effect to payment for the Offered Securities and the application has been advised of the proceeds as contemplated rules and requirements under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus will not be, required to register as 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 Units and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of 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 17 contracts
Samples: Underwriting Agreement (Methes Energies International LTD), Underwriting Agreement (Methes Energies International LTD), Underwriting Agreement (S&W Seed Co)
Company Not an “Investment Company. The Company is not, and after giving effect to payment for the Offered Securities Shares and the application of the proceeds as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus will not be, required to register as 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 registration under the Investment Company Act.
Appears in 13 contracts
Samples: Underwriting Agreement (Happiness Biotech Group LTD), Underwriting Agreement (Happiness Biotech Group LTD), Underwriting Agreement (ATIF Holdings LTD)
Company Not an “Investment Company. The Company is not, and after giving effect to receipt of payment for the Offered Securities Notes and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package Preliminary Prospectus and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 11 contracts
Samples: Underwriting Agreement (Nordstrom Inc), Underwriting Agreement (BMC Software Inc), Underwriting Agreement (Stryker Corp)
Company Not an “Investment Company. The Company is not, and after giving effect to payment for the Offered Securities and the application of the proceeds as contemplated under the caption “Use of Proceeds” in each of the Registration Statement, the Disclosure Package and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 11 contracts
Samples: Underwriting Agreement (Akanda Corp.), Underwriting Agreement (Akanda Corp.), Underwriting Agreement (Marizyme Inc)
Company Not an “Investment Company. The Company is not, and after giving effect to receipt of payment for the Offered Securities Notes and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 9 contracts
Samples: Underwriting Agreement (Cboe Global Markets, Inc.), Underwriting Agreement (Stryker Corp), Underwriting Agreement (Stryker Corp)
Company Not an “Investment Company. The Company is not, and after giving effect to receipt of payment for the Offered Securities and the application of the proceeds thereof as contemplated described under the caption “Use of Proceeds” in each of the Disclosure Package Preliminary Prospectus and the Prospectus will not be, required to register as an “investment company” within the meaning of under the Investment Company Act of 1940, as amended amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 9 contracts
Samples: Underwriting Agreement (Equifax Inc), Underwriting Agreement (Equifax Inc), Underwriting Agreement (Equifax Inc)
Company Not an “Investment Company. The Company is not, and after giving effect to payment for the Offered Securities and the application of the proceeds as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 9 contracts
Samples: Underwriting Agreement (Armlogi Holding Corp.), Underwriting Agreement (Armlogi Holding Corp.), Underwriting Agreement (Armlogi Holding Corp.)
Company Not an “Investment Company. The Company is not, and after giving effect to payment for the Offered Securities ADSs and the application of the proceeds as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 5 contracts
Samples: Deposit Agreement (Xiao-I Corp), Lock Up Agreement (Jinxin Technology Holding Co), Lock Up Agreement (Jinxin Technology Holding Co)
Company Not an “Investment Company. The Company is not, and after giving effect to payment for the Offered Securities Shares and the application of the proceeds as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 4 contracts
Samples: Underwriting Agreement (Qilian International Holding Group LTD), Underwriting Agreement (Qilian International Holding Group LTD), Underwriting Agreement (Qilian International Holding Group LTD)
Company Not an “Investment Company. The Company is not, and after giving effect to receipt of payment for the Offered Securities Notes and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package Preliminary Prospectus and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 4 contracts
Samples: Underwriting Agreement (McKesson Corp), McKesson Corp, McKesson Corp
Company Not an “Investment Company. The Company is not, and after giving effect to receipt of payment for the Offered Securities Notes and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package Preliminary Prospectus and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 4 contracts
Samples: Underwriting Agreement (Bard C R Inc /Nj/), Underwriting Agreement (Bard C R Inc /Nj/), Underwriting Agreement (Bard C R Inc /Nj/)
Company Not an “Investment Company. The Company is not, and after giving effect to receipt of payment for the Offered Securities Notes and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Pricing Disclosure Package and the Prospectus Offering Memorandum will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 3 contracts
Samples: Purchase Agreement (Kansas City Southern De Mexico, S.A. De C.V.), Purchase Agreement (Kansas City Southern), Kansas City Southern De Mexico, S.A. De C.V.
Company Not an “Investment Company. The Company is not, and after giving effect to payment for the Offered Securities Units and the application of the proceeds as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus will not be, required to register as 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 registration under the Investment Company Act.
Appears in 3 contracts
Samples: Placement Agency Agreement (Adomani, Inc.), Placement Agency Agreement (Adomani, Inc.), Securities Purchase Agreement (Adomani, Inc.)
Company Not an “Investment Company. The Company is not, and after giving effect to receipt of payment for the Offered Securities Units and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package preliminary prospectus and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Union Street Acquisition Corp.), Underwriting Agreement (Union Street Acquisition Corp.), Underwriting Agreement (Union Street Acquisition Corp.)
Company Not an “Investment Company. The Company is not, and will not be, either after giving effect to receipt of payment for the Offered Securities and or after the application of the proceeds therefrom as contemplated described under the caption “Use of Proceeds” in each of the Registration Statement, Disclosure Package and or the Prospectus will not beProspectus, required to register as an “investment company” within the meaning of under the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 3 contracts
Samples: Securities Purchase Agreement (ImmunityBio, Inc.), Securities Purchase Agreement (ImmunityBio, Inc.), Securities Purchase Agreement (ImmunityBio, Inc.)
Company Not an “Investment Company. The Company is not, and will not be, either after giving effect to receipt of payment for the Offered Securities and or after the application of the proceeds therefrom as contemplated described under the caption “Use of Proceeds” in each of the Disclosure Package and Registration Statement, or the Prospectus will not beProspectus, required to register as an “investment company” within the meaning of under the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 3 contracts
Samples: Placement Agency Agreement (Erytech Pharma S.A.), Placement Agency Agreement (Biophytis SA), Placement Agency Agreement (Erytech Pharma S.A.)
Company Not an “Investment Company. The Company is not, and after giving effect to payment for the Offered Securities and the application of the proceeds as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus will not be, required to register as 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 registration under the Investment Company Act.
Appears in 3 contracts
Samples: Underwriting Agreement (Bon Natural Life LTD), Underwriting Agreement (Bon Natural Life LTD), Placement Agency Agreement (Akerna Corp.)
Company Not an “Investment Company. The Company is not, and after giving effect to receipt of payment for the Offered Securities Notes and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (amended, and the “Investment Company Act”)rules and regulations promulgated thereunder.
Appears in 3 contracts
Samples: Underwriting Agreement (Westinghouse Air Brake Technologies Corp), Underwriting Agreement (Thermo Fisher Scientific Inc.), Thermo Fisher Scientific Inc.
Company Not an “Investment Company. The Company is not, and after giving effect to payment for the Offered Securities offering and sale of the Shares and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” described in each of the Disclosure Package Registration Statement and the Prospectus will not be, required to register as an “investment company” within the meaning of as such term is defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 3 contracts
Samples: Open Market Sale Agreement (Esperion Therapeutics, Inc.), Sales Agreement (Esperion Therapeutics, Inc.), Third Harmonic Bio, Inc.
Company Not an “Investment Company. The Company is not, and after giving effect to payment for the Offered Securities and the application of the proceeds as contemplated under the caption “Use of Proceeds” in each of the Registration Statement, Disclosure Package and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (BioLingus (Cayman) LTD), Underwriting Agreement (BioLingus (Cayman) LTD), Underwriting Agreement (BioLingus (Cayman) LTD)
Company Not an “Investment Company. The Company is not, and solely after giving effect to the receipt of payment for the Offered Securities and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package Preliminary Prospectus and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 2 contracts
Samples: Underwriting Agreement (Td Ameritrade Holding Corp), Underwriting Agreement (Td Ameritrade Holding Corp)
Company Not an “Investment Company. The Company is not, and after giving effect to payment for the offering and sale of the Offered Securities and the application of the proceeds as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Lucas GC LTD), Underwriting Agreement (Lucas GC LTD)
Company Not an “Investment Company. The Company is not, and after giving effect to payment for the Offered Securities offering and sale of the Notes and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (amended, and the “Investment Company Act”)rules and regulations promulgated thereunder.
Appears in 2 contracts
Samples: Underwriting Agreement (Thermo Fisher Scientific Inc.), Underwriting Agreement (Thermo Fisher Scientific Inc.)
Company Not an “Investment Company. The Company is not, and after giving effect to receipt of payment for the Offered Securities and the application of the proceeds as contemplated under the caption “Use of Proceeds” described in each of the Disclosure Package and the Prospectus under “Use of Proceeds” will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 2 contracts
Samples: Purchase Agreement (Prologis), Purchase Agreement (Prologis)
Company Not an “Investment Company. The Company is not, and after solely giving effect to the receipt of payment for the Offered Securities Notes and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (amended, and the “Investment Company Act”)rules and regulations promulgated thereunder.
Appears in 2 contracts
Samples: Underwriting Agreement (Conagra Foods Inc /De/), Underwriting Agreement (Conagra Foods Inc /De/)
Company Not an “Investment Company. The Company is not, and after giving effect to payment for the Offered Securities Shares and the application of the proceeds as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus will not be, be required to register as 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 registration under the Investment Company Act.
Appears in 2 contracts
Samples: Underwriting Agreement (Code Rebel Corp), Underwriting Agreement (Code Rebel Corp)
Company Not an “Investment Company. The Company is not, and immediately after giving effect to payment for the Offered Securities offering and sale of the Shares and the application of the proceeds thereof as contemplated under described in the caption “Use of Proceeds” in each of the Disclosure Package Registration Statement and the Prospectus Prospectus, will not be, required to register as an “investment company” within the meaning of under the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 2 contracts
Samples: PMV Pharmaceuticals, Inc., PMV Pharmaceuticals, Inc.
Company Not an “Investment Company. The Company is not, and after giving effect to receipt of payment for the Offered Securities and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package preliminary prospectus and the Prospectus will not be, be required to register as as, an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company 1940 Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (CubeSmart, L.P.), Underwriting Agreement (CubeSmart, L.P.)
Company Not an “Investment Company. The Company is not, and after giving effect to receipt of payment for the Offered Securities Notes and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Pricing Disclosure Package and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 2 contracts
Samples: Underwriting Agreement (Broadcom Corp), Underwriting Agreement (Broadcom Corp)
Company Not an “Investment Company. The Company is not, and either after giving effect to receipt of payment for the Offered Securities and Shares or after the application of the proceeds therefrom as contemplated described under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus Applicable Prospectus, will not be, be required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Sangamo Biosciences Inc), Underwriting Agreement (Sangamo Biosciences Inc)
Company Not an “Investment Company. The Company is notnot and, and after giving effect to payment for the Offered Securities offering and sale of the Notes and the application of the net proceeds thereof as contemplated under the caption “Use of Proceeds” described in each of the Disclosure Package and the Prospectus Prospectus, will not be, required to register as an “investment company,” within the meaning of as such term is defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 1 contract
Company Not an “Investment Company. The Company is not, and after giving effect to receipt of payment for the Offered Securities Notes and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package Preliminary Prospectus and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended and the rules and regulations promulgated thereunder (the “Investment Company Act”).
Appears in 1 contract
Samples: Underwriting Agreement (Toro Co)
Company Not an “Investment Company. The Company is not, and after giving effect to receipt of payment for the Offered Securities and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Registration Statement, the General Disclosure Package and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company 1940 Act of 1940, as amended (and the “Investment Company Act”)rules and regulations promulgated thereunder.
Appears in 1 contract
Company Not an “Investment Company. The Company is not, and after giving effect to payment for the Offered issuance of the Securities and the application of the net proceeds therefrom as contemplated under the caption “Use of Proceeds” described in each of the Disclosure Package and the Prospectus Final Offering Memorandum will not be, required to register as 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
Samples: Registration Rights Agreement (Stewart Enterprises Inc)
Company Not an “Investment Company. The Company is not, and after giving effect to payment for the Offered Securities offering and sale of the Placement Shares and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” described in each of the Disclosure Package and the Prospectus will not be, required to register as an “investment company” within the meaning of as such term is defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 1 contract
Samples: Sales Agreement (Alector, Inc.)
Company Not an “Investment Company. The Company is not, and will not be, either after giving effect to receipt of payment for the Offered Securities and or after the application of the proceeds therefrom as contemplated described under the caption “Use of Proceeds” in each of the Registration Statement, the General Disclosure Package and the Prospectus will not beProspectus, required to register as an “investment company” within the meaning of under the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 1 contract
Company Not an “Investment Company. The Company is not, and after giving effect to receipt of payment for the Offered Securities Notes and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package Preliminary Prospectus and the Prospectus will not be, required to register as 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 is not, and after giving effect to receipt of payment for the Offered Securities Notes and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (amended, and the “Investment Company Act”)rules and regulations promulgated thereunder.
Appears in 1 contract
Company Not an “Investment Company. The Company is not, and will not be, either after giving effect to receipt of payment for the Offered Securities and Shares or after the application of the proceeds therefrom as contemplated described under the caption “Use of Proceeds” in each of the Registration Statement, the General Disclosure Package and or the Prospectus will not beProspectus, required to register as an “investment company” within the meaning of under the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 1 contract
Company Not an “Investment Company. The Company is not, and will not be, either after giving effect to receipt of payment for the Offered Securities and or after the application of the proceeds therefrom as contemplated described under the caption “"Use of Proceeds” " in each of the Registration Statement, the Pricing Disclosure Package and or the Prospectus will not beProspectus, required to register as an “"investment company” within the meaning of " under the Investment Company Act of 1940, as amended (the “"Investment Company Act”").
Appears in 1 contract
Samples: Underwriting Agreement (Enterprise Financial Services Corp)
Company Not an “Investment Company. The Company is not, and either after giving effect to receipt of payment for the Offered Securities and ADSs or after the application of the proceeds therefrom as contemplated described under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus Applicable Prospectus, will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 1 contract
Samples: Underwriting Agreement (Mindray Medical International LTD)
Company Not an “Investment Company. The Company is not, and after giving effect to receipt of payment for the Offered Securities Notes and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended amended, and the rules and regulations promulgated thereunder (the “Investment Company Act”).
Appears in 1 contract
Company Not an “Investment Company. The Company is not, and after giving effect to receipt of payment for the Offered Securities Shares and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus will not be, required to register as 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
Samples: Underwriting Agreement (Sucampo Pharmaceuticals, Inc.)
Company Not an “Investment Company. The Company is not, and after giving effect to payment for the Offered Securities offering and sale of the Shares, and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus Prospectus, will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (amended, and the “Investment Company Act”)rules and regulations promulgated thereunder.
Appears in 1 contract
Samples: Underwriting Agreement (Thermo Fisher Scientific Inc.)
Company Not an “Investment Company. The Company is not, and after giving effect to receipt of payment for the Offered Securities Shares and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package Preliminary Prospectus and the Prospectus will not be, required to register as 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 is not, and after giving effect to receipt of payment for the Offered Securities Shares and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package preliminary prospectus and the Prospectus will not be, required to register as 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
Samples: Underwriting Agreement (Cal Dive International, Inc.)
Company Not an “Investment Company. The Company is not, and after giving effect to receipt of payment for the Offered Securities Placement Shares and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” described in each of the Disclosure Package and the Prospectus will not be, required to register as an “investment company” within the meaning of as such term is defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 1 contract
Samples: Chimerix Inc
Company Not an “Investment Company. The Company is not, and after giving effect to the Offering, the payment for the Offered Securities and the application of the proceeds as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 1 contract
Company Not an “Investment Company. The Company is not, and after giving effect to receipt of payment for the Offered Securities Notes and the application of the proceeds as contemplated under the caption “Use of Proceeds” described in each of the Disclosure Package and the Prospectus under “Use of Proceeds” will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 1 contract
Samples: Underwriting Agreement (Prologis)
Company Not an “Investment Company. The Company is not, and after giving effect to receipt of payment for the Offered Securities Shares and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package preliminary prospectus and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 1 contract
Company Not an “Investment Company. The Company is not, and after solely giving effect to the receipt of payment for the Offered Securities and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (amended, and the “Investment Company Act”)rules and regulations promulgated thereunder.
Appears in 1 contract
Samples: Conagra Foods Inc /De/
Company Not an “Investment Company. The Company is not, and after giving effect to receipt of payment for the Offered Securities Shares and the application of the proceeds thereof as contemplated under the caption “"Use of Proceeds” " in each of the Disclosure Package Statutory Prospectus and the Prospectus will not be, required to register as an “"investment company” within the meaning of " under the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 1 contract
Samples: Alphatec Holdings, Inc.
Company Not an “Investment Company. The Company is not, and after giving effect to receipt of payment for the Offered Securities Debentures and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package Statutory Prospectus and the Prospectus will not be, required to register as 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 is not, and and, solely after giving effect to the receipt of payment for the Offered Securities Notes and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus Prospectus, will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (amended, and the “Investment Company Act”)rules and regulations promulgated thereunder.
Appears in 1 contract
Company Not an “Investment Company. The Company is and its Subsidiaries are not, and after giving effect to payment for the Offered Securities and the application of the proceeds as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus will not be, required to register as 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 is notnot and, and after giving effect to payment for the Offered Securities offering and sale of the Notes and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus Prospectus, will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended (amended, and the “Investment Company Act”)rules and regulations promulgated thereunder.
Appears in 1 contract
Samples: Underwriting Agreement (Thermo Fisher Scientific Inc.)
Company Not an “Investment Company. The Company is notnot and, and after giving effect to payment for the Offered offering and sale of the Securities and the application of proceeds thereof as described in the proceeds as contemplated under the caption “Use of Proceeds” in each of the General Disclosure Package and the Prospectus Prospectus, will not be, required to register as be an “investment company” within the meaning of required to be registered under the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 1 contract
Company Not an “Investment Company. The Company is not, and after giving effect to receipt of payment for the Offered Securities Shares and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus will not be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended amended, (the “Investment Company Act”), and the Company intends to 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 is not, and will not be, either after giving effect to receipt of payment for the Offered Securities and Stock or after the application of the proceeds therefrom as contemplated described under the caption “Use of Proceeds” in each of the Registration Statement, the General Disclosure Package and or the Prospectus will not beProspectus, required to register as an “investment company” within the meaning of under the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 1 contract
Company Not an “Investment Company. The Company is not, and after giving effect to payment for the Offered Securities and the application of the proceeds as contemplated under the caption “Use of Proceeds” in each of the Disclosure Package and the Prospectus Prospectus, will not be, required to register as 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 is not, and will not be, either after giving effect to receipt of payment for the Offered Securities and or after the application of the proceeds therefrom as contemplated described under the caption “Use of Proceeds” in each of the Registration Statement, the General Disclosure Package and or the Prospectus will not beProspectus, required to register as an “investment company” within the meaning of under the Investment Company Act of 1940, as amended amended, and the rules and regulations of the Commission thereunder (the “Investment Company Act”).
Appears in 1 contract
