Common use of CONDITIONS TO THE DEALER MANAGER’S OBLIGATIONS Clause in Contracts

CONDITIONS TO THE DEALER MANAGER’S OBLIGATIONS. The obligations of the Dealer Manager hereunder are subject, during the term of this Agreement and the Offering, to the conditions that: (a) at the effective date of the Registration Statement and thereafter during the term of this Agreement while any Preferred Stock remain unsold, the Registration Statement shall remain in full force and effect authorizing the offer and sale of the Preferred Stock; (b) no stop order suspending the effectiveness of the Offering or other order restraining the offer or sale of the Preferred Stock shall have been issued nor proceedings therefor initiated or threatened by any state regulatory agency or the SEC; and (c) the SIA shall have satisfactorily performed all its obligations hereunder (including Section 7).

Appears in 4 contracts

Samples: Dealer Manager Agreement (Prospect Capital Corp), Dealer Manager Agreement (Prospect Capital Corp), Dealer Manager Agreement (Prospect Capital Corp)

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CONDITIONS TO THE DEALER MANAGER’S OBLIGATIONS. The obligations of the Dealer Manager hereunder are subject, during the full term of this Agreement and the OfferingOfferings, to the conditions that: : (a) at the effective date dates of the Registration Statement Statements and thereafter during the term of this Agreement while any Preferred Stock Shares remain unsold, the Registration Statement Statements shall remain in full force and effect authorizing the offer and sale of the Preferred Stock; Shares; (b) no stop order suspending the effectiveness of the Offering Offerings or other order restraining the offer or sale of the Preferred Stock Shares shall have been issued nor proceedings therefor initiated or threatened by any state regulatory agency or the SEC; and and (c) the SIA shall have satisfactorily performed all of its obligations hereunder (including and complied with the covenants set forth in Section 7)6 hereof.

Appears in 2 contracts

Samples: Distribution Agreement (Eagle Point Enhanced Income Trust), Dealer Manager Agreement (Eagle Point Institutional Income Fund)

CONDITIONS TO THE DEALER MANAGER’S OBLIGATIONS. The obligations of the Dealer Manager hereunder are subject, during the term of this Agreement and the Offering, to the conditions that: (a) at the effective date of the Registration Statement and thereafter during the term of this Agreement while any Preferred Stock Class I Shares remain unsold, the Registration Statement shall remain in full force and effect authorizing the offer and sale of the Preferred StockClass I Shares; (b) no stop order suspending the effectiveness of the Offering or other order restraining the offer or sale of the Preferred Stock Class I Shares shall have been issued nor proceedings therefor initiated or threatened by any state regulatory agency or the SEC; and (c) the SIA shall have satisfactorily performed all its obligations hereunder (including Section 76).

Appears in 1 contract

Samples: Dealer Manager Agreement (Prospect Floating Rate & Alternative Income Fund, Inc.)

CONDITIONS TO THE DEALER MANAGER’S OBLIGATIONS. The obligations of the Dealer Manager hereunder are subject, during the term of this Agreement and the Offering, to the conditions that: (a) at the effective date of the Registration Statement and thereafter during the term of this Agreement while any Preferred Stock mShares remain unsold, the Registration Statement shall remain in full force and effect authorizing the offer and sale of the Preferred StockmShares; (b) no stop order suspending the effectiveness of the Offering or other order restraining the offer or sale of the Preferred Stock mShares shall have been issued nor proceedings therefor initiated or threatened by any state regulatory agency or the SEC; and (c) the SIA shall have satisfactorily performed all its obligations hereunder (including Section 76).

Appears in 1 contract

Samples: Selected Investment Advisor Agreement

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CONDITIONS TO THE DEALER MANAGER’S OBLIGATIONS. The obligations of the Dealer Manager hereunder are subject, during the full term of this Agreement and the Offering, to the conditions that: : (a) at the effective date of the Registration Statement and thereafter during the term of this Agreement while any Preferred Stock Shares remain unsold, the Registration Statement shall remain in full force and effect authorizing the offer and sale of the Preferred Stock; Shares; (b) no stop order suspending the effectiveness of the Offering or other order restraining the offer or sale of the Preferred Stock Shares shall have been issued nor proceedings therefor initiated or threatened by any state regulatory agency or the SEC; and and (c) the SIA shall have satisfactorily performed all of its obligations hereunder (including and complied with the covenants set forth in Section 7)6 hereof.

Appears in 1 contract

Samples: Selected Investment Advisor Agreement (Corporate Property Associates 17 - Global INC)

CONDITIONS TO THE DEALER MANAGER’S OBLIGATIONS. The obligations of the Dealer Manager hereunder are subject, during the full term of this Agreement and the Offering, to the conditions that: : (a) at the effective date dates of the Registration Statement Statements and thereafter during the term of this Agreement while any Preferred Stock remain unsold, the Registration Statement Statements shall remain in full force and effect authorizing the offer and sale of the Preferred Stock; ; (b) no stop order suspending the effectiveness of the Offering or other order restraining the offer or sale of the Preferred Stock shall have been issued nor proceedings therefor initiated or threatened by any state regulatory agency or the SEC; and and (c) the SIA shall have satisfactorily performed all of its obligations hereunder (including and complied with the covenants set forth in Section 7)6 hereof.

Appears in 1 contract

Samples: Dealer Manager Agreement (Eagle Point Credit Co Inc.)

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