Company Not an “Investment Company. The Company is not an “investment company” or an entity “controlled” by an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Underwriting Agreement (Avalonbay Communities Inc), Underwriting Agreement (Avalonbay Communities Inc), Underwriting Agreement (Avalonbay Communities Inc)
Company Not an “Investment Company. The Company is not, and after receipt of payment for the Shares will not be, an “investment company” or an entity “controlled” by an “investment company” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amendedamended (the “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 is not and, after giving effect to the offering and sale of the Placement Shares and the application of the proceeds thereof, will not be an “investment company” or an entity “controlled” by an “investment company,” as such terms are term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 4 contracts
Samples: Sales Agreement (Unity Biotechnology, Inc.), Common Stock (Unity Biotechnology, Inc.), Unity Biotechnology, Inc.
Company Not an “Investment Company. The Company is not, and upon receipt of the proceeds from the sale of the Securities will not be, an “"investment company” or an entity “controlled” by an “investment company” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations thereunder.
Appears in 3 contracts
Samples: Underwriting Agreement (Radyne Comstream Inc), Radyne Comstream Inc, Radyne Comstream Inc
Company Not an “Investment Company. The Company is not, and after receipt of payment for the Common Shares will not be, an “investment company” or an entity “controlled” by an “investment company” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Caci International Inc /De/), Underwriting Agreement (Molina Healthcare Inc), Underwriting Agreement (Molina Healthcare Inc)
Company Not an “Investment Company. The Company is not and will not be, either after receipt of payment for the Shares or after the application of the proceeds therefrom, an “investment company” or an entity “controlled” by an “investment company” ”, as such terms are term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 2 contracts
Samples: Carisma Therapeutics Inc., Sesen Bio, Inc.
Company Not an “Investment Company. The Company is not an “investment company” or an entity “controlled” by an “investment company” as such terms are defined in the Investment Company Act of 1940, as amendedamended (the “1940 Act”).
Appears in 2 contracts
Samples: Distribution Agreement (Avalonbay Communities Inc), Underwriting Agreement (Avalonbay Communities Inc)
Company Not an “Investment Company. The Company is not, and immediately after receipt of payment for the Notes will not be, an “investment company” or an entity “controlled” by an “investment company” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Level 3 Communications Inc), Securities Purchase Agreement (Level 3 Communications Inc)
Company Not an “Investment Company. The Company is not an “"investment company” ", or an entity “a company "controlled” " by an “"investment company” as such terms are defined in ", within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Term Loan Agreement (National Consumer Cooperative Bank /Dc/), Term Loan Agreement (National Consumer Cooperative Bank /Dc/)
Company Not an “Investment Company. The Company is not, and after receipt of payment for the Shares giving effect to the transactions contemplated hereby will not be, an “investment company,” or an entity “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations promulgated thereunder.
Appears in 2 contracts
Samples: Purchase Agreement (Delta Financial Corp), Purchase Agreement (Delta Financial Corp)
Company Not an “Investment Company. The Company is not, and immediately after receipt of payment for the Notes will not be, an “"investment company” " or an entity “"controlled” " by an “"investment company” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Level 3 Communications Inc), Securities Purchase Agreement (Level 3 Communications Inc)
Company Not an “Investment Company. The Company is not, and immediately after receipt of payment for the Shares will not be, an “investment company” or an entity “controlled” by an “investment company” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Company Not an “Investment Company. The Company is not, and immediately after receipt of payment for the Preferred Stock will not be, an “investment company” or an entity “controlled” by an “investment company” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Diversified Corporate Resources Inc)
Company Not an “Investment Company. The Company is not, and immediately after receipt of payment for the Shares will not be, an “"investment company” " or an entity “"controlled” " by an “"investment company” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Company Not an “Investment Company. The Company is not an “investment company” or an entity “controlled” by an “investment company” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Underwriting Agreement (Td Ameritrade Holding Corp)
Company Not an “Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares, will not be an “investment company,” or an entity “controlled” by an and “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Company Not an “Investment Company. The Company is not an “investment company” or an entity “controlled” by an “investment company” as such terms are defined in 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”).
Appears in 1 contract
Samples: Open Market Sale (Dave & Buster's Entertainment, Inc.)
Company Not an “Investment Company. The Company is not, and immediately after receipt of payment for the Investor Shares will not be, an “investment company” or an entity “controlled” by an “investment company” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Common Stock Purchase Agreement (Response Genetics Inc)
Company Not an “Investment Company. The Company is not, and immediately after receipt of payment for the Preferred Stock will not be, an “"investment company” " or an entity “"controlled” " by an “"investment company” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Dinur & Associates Pc /Fa/)
