Compliance with OFAC. None of the Company or, to the knowledge of the Company, the Adviser or BDC Partners, any director or officer of the Company, is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Treasury Department (“OFAC”); and the Company will not directly or indirectly use the proceeds of the offering of the Shares, or lend, contribute or otherwise make available such proceeds to any other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 6 contracts
Samples: Underwriting Agreement (TICC Capital Corp.), Underwriting Agreement (TICC Capital Corp.), Equity Distribution Agreement (TICC Capital Corp.)
Compliance with OFAC. None Neither of the Company ornor, to the knowledge of the Company, the Adviser or BDC Partners's knowledge, any director director, officer, agent, employee or officer affiliate of the Company, is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Department of the Treasury Department (“OFAC”); , and the Company will not knowingly, directly or indirectly indirectly, use the proceeds of the offering of the SharesOffering hereunder, or lend, contribute or otherwise make available such proceeds to any subsidiary, joint venture partner or other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Tonix Pharmaceuticals Holding Corp.), Placement Agency Agreement (Tonix Pharmaceuticals Holding Corp.), Securities Purchase Agreement (Tonix Pharmaceuticals Holding Corp.)
Compliance with OFAC. None of the Company or, to the knowledge of the Company, the Adviser or BDC Partners’s knowledge, any director director, officer, agent, employee or officer affiliate of the Company, is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Department of the Treasury Department (“OFAC”); , and the Company will not not, directly or indirectly indirectly, use the proceeds of the offering of the SharesOffering hereunder, or lend, contribute or otherwise make available such proceeds to any joint venture partner or other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 5 contracts
Samples: Underwriting Agreement (Lirum Therapeutics, Inc.), Underwriting Agreement (Lirum Therapeutics, Inc.), Underwriting Agreement (Lirum Therapeutics, Inc.)
Compliance with OFAC. None of Neither the Company ornor, to the knowledge of the Company, the Adviser any director, officer, agent, employee or BDC Partners, any director or officer affiliate of the Company, is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Department of the Treasury Department (“OFAC”); and the Company will not directly or indirectly use the proceeds of the offering of the SharesSecurities hereunder, or lend, contribute or otherwise make available such proceeds to any joint venture partner or other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 4 contracts
Samples: Underwriting Agreement (Berry Petroleum Co), Underwriting Agreement (Berry Petroleum Co), Underwriting Agreement (Berry Petroleum Co)
Compliance with OFAC. None of Neither the Company or, to the knowledge nor or any of the Company, the Adviser or BDC Partners, any director or officer of the Company, its subsidiaries is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Department of the Treasury Department (“OFAC”); and the Company will not not, directly or indirectly indirectly, use the proceeds of the offering of the SharesShares hereunder, or lend, contribute or otherwise make available such proceeds to any subsidiary, joint venture partner or other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 3 contracts
Samples: Underwriting Agreement (Silvercrest Asset Management Group Inc.), Underwriting Agreement (Silvercrest Asset Management Group Inc.), Underwriting Agreement (Silvercrest Asset Management Group Inc.)
Compliance with OFAC. None of Neither the Company or, to the knowledge nor or any of the Company, the Adviser or BDC Partners, any director or officer of the Company, its Subsidiaries is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Department of the Treasury Department (“OFAC”); and the Company will not not, directly or indirectly indirectly, use the proceeds of the offering and sale of the SharesPlacement Shares hereunder, or lend, contribute or otherwise make available such proceeds to any Subsidiary, joint venture partner or other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 3 contracts
Samples: Equity Distribution Agreement (Penns Woods Bancorp Inc), Equity Distribution Agreement, Equity Distribution Agreement (First Foundation Inc.)
Compliance with OFAC. None of the Company Company, any of its subsidiaries or, to the knowledge of the Company, the Adviser any director, officer, agent, employee or BDC Partners, any director or officer affiliate of the Company, Company or any of its subsidiaries is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Department of the Treasury Department (“OFAC”); and neither the Company nor any subsidiary or joint venture partner of the Company will not directly or indirectly use the proceeds of the offering of the Shares, or lend, contribute or otherwise make available such proceeds to any other person or entity, Shares hereunder for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC, and, to the Company’s knowledge, the proceeds of the offering will not be used by any other person or entity for such purpose.
Appears in 2 contracts
Samples: Underwriting Agreement (Umpqua Holdings Corp), Underwriting Agreement (Umpqua Holdings Corp)
Compliance with OFAC. None of Neither the Company ornor, to the knowledge of the Company, the Adviser any director, officer, agent, employee or BDC Partners, any director or officer affiliate of the Company, Company is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Department of the Treasury Department (“OFAC”); and the Company will not not, directly or indirectly indirectly, use the proceeds of the offering of the SharesPlacement Shares hereunder, or lend, contribute or otherwise make available such proceeds to any joint venture partner or other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 2 contracts
Samples: Sales Agreement (Glycomimetics Inc), Sales Agreement (Glycomimetics Inc)
Compliance with OFAC. None of Neither the Company ornor, to the knowledge of the Company’s, the Adviser Advisor’s or BDC Partners’ knowledge, any director or officer of the Company, Company is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Treasury Department (“OFAC”); and the Company will not directly or indirectly use the proceeds of the offering of the Sharesoffering, or lend, contribute or otherwise make available such proceeds to any other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 2 contracts
Samples: Underwriting Agreement (TICC Capital Corp.), Equity Distribution Agreement (TICC Capital Corp.)
Compliance with OFAC. None of Neither the Company ornor any of its subsidiaries nor, to the knowledge of the Company, the Adviser any director, officer, agent, employee or BDC Partners, any director or officer affiliate of the Company, Company or any of its subsidiaries is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Treasury Department (“OFAC”); and the Company will not directly or indirectly use the proceeds of the offering of the Sharesoffering, or lend, contribute or otherwise make available such proceeds to any subsidiary, joint venture partner or other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 2 contracts
Samples: Underwriting Agreement (Janus Capital Group Inc), Underwriting Agreement (Janus Capital Group Inc)
Compliance with OFAC. None of Neither the Company or, to the knowledge nor or any of the Company, the Adviser or BDC Partners, any director or officer of the Company, its Subsidiaries is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Department of the Treasury Department (“OFAC”); and the Company will not not, directly or indirectly indirectly, use the proceeds of the offering and sale of the SharesShares hereunder, or lend, contribute or otherwise make available such proceeds to any Subsidiary, joint venture partner or other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 2 contracts
Samples: Underwriting Agreement (First Foundation Inc.), Underwriting Agreement (First Foundation Inc.)
Compliance with OFAC. None of the Company or, to the knowledge of the Company, the Adviser any director, officer, agent, employee or BDC Partners, any director or officer affiliate of the Company, is Company currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Department of the Treasury Department (“OFAC”); and the Company will not not, directly or indirectly indirectly, use the proceeds of the offering of the SharesShares hereunder, or lend, contribute or otherwise make available such proceeds to any subsidiary, joint venture partner or other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 2 contracts
Samples: Underwriting Agreement (Trulia, Inc.), Underwriting Agreement (Trulia, Inc.)
Compliance with OFAC. None of Neither the Company ornor any of its Subsidiaries nor, to the knowledge Knowledge of the Company, the Adviser any director, officer, agent, employee or BDC Partners, any director or officer affiliate of the CompanyCompany or any of its Subsidiaries, is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Treasury Department (“"OFAC”"); and the . The Company will not not, directly or indirectly indirectly, use the proceeds of the offering of the Sharescontemplated hereby, or lend, contribute or otherwise make available such proceeds to any other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Prospect Global Resources Inc.), Securities Purchase Agreement (Prospect Global Resources Inc.)
Compliance with OFAC. None of the Company or, to the knowledge of the Company, the Adviser or BDC Partnersany of its subsidiaries, any director director, officer agent, employee or officer affiliate of the Company, Company or any of its subsidiaries is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Treasury Department (“OFAC”); and the Company will not not, directly or indirectly indirectly, use the proceeds of the offering of the SharesNotes, or lend, contribute or otherwise make available such proceeds to any subsidiary, joint venture partner or other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 2 contracts
Samples: Subscription Agreement (Cheniere Energy Inc), Subscription Agreement (Cheniere Energy Inc)
Compliance with OFAC. None Neither the Company nor, to the Company’s Knowledge, any director, officer, agent, employee or affiliate of the Company or, to the knowledge of the Company, the Adviser or BDC Partners, any director or officer of the Company, is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Department of Treasury Department (“OFAC”); and the Company will not directly or indirectly use the proceeds of the offering of the Sharesoffering, or lend, contribute or otherwise make available such proceeds to any subsidiary, joint venture partner or other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 1 contract
Compliance with OFAC. None of Neither the Company ornor, to the knowledge of the Company, the Adviser any director, officer, agent, employee or BDC Partners, any director or officer affiliate of the Company, is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Department of the Treasury Department (“OFAC”); and the Company will not directly or indirectly use the proceeds of the offering of the SharesOffered Securities hereunder, or lend, contribute or otherwise make available such proceeds to any joint venture partner or other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 1 contract
Compliance with OFAC. None of the Company or, to the knowledge of the Company, the Adviser any director, officer, agent, employee or BDC Partners, any director or officer Affiliate of the Company, Company is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Department of the Treasury Department (“OFAC”); and the Company will not directly or indirectly use the proceeds of the offering of the SharesShares hereunder, or lend, contribute or otherwise make available such proceeds to any joint venture partner or other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 1 contract
Samples: Underwriting Agreement (Ulta Salon, Cosmetics & Fragrance, Inc.)
Compliance with OFAC. None of Neither the Company or, to the knowledge nor or any of the Company, the Adviser or BDC Partners, any director or officer of the Company, its Subsidiaries is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Department of the Treasury Department (“OFAC”); and the Company will not not, directly or indirectly indirectly, use the proceeds of the offering and sale of the SharesSecurities hereunder, or lend, contribute or otherwise make available such proceeds to any Subsidiary, joint venture partner or other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.; and
Appears in 1 contract
Compliance with OFAC. None of the Company or, to the knowledge of the Company, the Adviser any director, officer, agent, employee or BDC Partners, any director or officer affiliate of the Company, Company is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Department of the Treasury Department (“OFAC”); and the Company will not directly or indirectly use the proceeds of the offering of the SharesSecurities hereunder, or lend, contribute or otherwise make available such proceeds to any subsidiary, joint venture partner or other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 1 contract
Samples: Purchase Agreement (Motient Corp)
Compliance with OFAC. None of the Company Company, any of its subsidiaries or, to the knowledge of the Company, Company and the Adviser or BDC PartnersGuarantors, any director director, officer, agent, employee or officer affiliate of the Company, Company or any of its subsidiaries is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Treasury Department (“OFAC”); and the Company will not directly or indirectly use the proceeds of the offering of the SharesSecurities hereunder, or lend, contribute or otherwise make available such proceeds to any subsidiary, joint venture partner or other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 1 contract
Compliance with OFAC. None of the Company Company, any of its subsidiaries or, to the knowledge of the Company, the Adviser any director, officer, agent, employee or BDC Partners, any director or officer affiliate of the Company, Company or any of its subsidiaries is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Department of the Treasury Department (“OFAC”); and neither the Company will not nor any subsidiary of the Company will, directly or indirectly indirectly, use the proceeds of the offering of the Shares, or lend, contribute or otherwise make available such proceeds to any other person or entity, Shares hereunder for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 1 contract
Compliance with OFAC. None of the Company or, to the knowledge of the Company, the Adviser any director, officer, agent, employee or BDC Partners, any director or officer affiliate of the Company, Company is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Department of the Treasury Department (“"OFAC”"); and the Company will not not, directly or indirectly indirectly, use the proceeds of the offering of the SharesShares hereunder, or lend, contribute or otherwise make available such proceeds to any joint venture partner or other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 1 contract
Compliance with OFAC. None of the Company oror any director, to the knowledge officer, agent, employee or affiliate of the Company, the Adviser or BDC Partners, any director or officer of the Company, Company is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Department of the Treasury Department (“OFAC”); and the Company will not not, directly or indirectly indirectly, use the proceeds of the offering and sale of the SharesOffered Securities, or lend, contribute or otherwise make available such proceeds to any subsidiary, joint venture partner or other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 1 contract
Samples: Underwriting Agreement (Ute Energy Upstream Holdings LLC)
Compliance with OFAC. None of the Company Company, any of its subsidiaries or, to the knowledge of the Company, the Adviser any director, officer, agent, employee or BDC Partners, any director or officer affiliate of the Company, Company or any of its subsidiaries is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Department of the Treasury Department (“OFAC”); and neither the Company nor any subsidiary or joint venture partner of the Company will not directly or indirectly use the proceeds of the offering of the Shares, or lend, contribute or otherwise make available such proceeds to any other person or entity, Depositary Shares hereunder for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC, and, to the Company’s knowledge, the proceeds of the offering will not be used by any other person or entity for such purpose.
Appears in 1 contract
Compliance with OFAC. None of the Company or, to the knowledge of the Company, the Adviser any director, officer, agent, employee or BDC Partners, any director or officer affiliate of the Company, Company is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Department of the Treasury Department (“OFAC”); and the Company will not directly or indirectly use the proceeds of the offering of the SharesShares hereunder, or lend, contribute or otherwise make available such proceeds to any subsidiary, joint venture partner or other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 1 contract
Compliance with OFAC. None of Neither the Company ornor any of its Subsidiaries nor, to the knowledge Knowledge of the Company, the Adviser any director, officer, agent, employee or BDC Partners, any director or officer affiliate of the CompanyCompany or any of its Subsidiaries, is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Treasury Department (“OFAC”); and the . The Company will not not, directly or indirectly indirectly, use the proceeds of the offering of the Sharescontemplated hereby, or lend, contribute or otherwise make available such proceeds to any other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 1 contract
Samples: Securities Purchase Agreement (Prospect Global Resources Inc.)
Compliance with OFAC. None of Neither the Company ornor, to the knowledge of the Company, the Adviser any director, officer, agent, employee or BDC Partners, any director or officer affiliate of the Company, Company is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Department of the Treasury Department (“OFAC”); and the Company will not directly or indirectly use the proceeds of the offering of the SharesOffered Shares hereunder, or lend, contribute or otherwise make available such proceeds to any subsidiary, joint venture partner or other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 1 contract
Compliance with OFAC. None of Neither the Company ornor the Subsidiary nor, to the knowledge of the Company, the Adviser any director, officer, agent, employee or BDC Partners, any director or officer affiliate of the Company, Company or the Subsidiary is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Treasury Department (“OFAC”); and the Company will not directly or indirectly use the proceeds of the offering of the Sharesoffering, or lend, contribute or otherwise make available such proceeds to any subsidiary, joint venture partner or other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 1 contract
Compliance with OFAC. None of the Company or, to the knowledge of the Company, the Adviser any director, officer, agent or BDC Partners, any director or officer employee of the Company, Company is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Department of the Treasury Department (“OFAC”); and the Company will not directly or indirectly use the proceeds of the offering of the SharesShares hereunder, or lend, contribute or otherwise make available such proceeds to any subsidiary, joint venture partner or other person or entity, for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.
Appears in 1 contract