Furnishing of Rule 144A Information. The Issuer will furnish, upon the written request of any Noteholder or of any owner of a beneficial interest therein, such information as is specified in paragraph (d)(4) of Rule 144A under the Securities Act (i) to such Noteholder or beneficial owner, (ii) to a prospective purchaser of such Note or interest therein who is a Qualified Institutional Buyer and a Qualified Purchaser designated by such Noteholder or beneficial owner, or (iii) to the Trustee for delivery to such Noteholder, beneficial owner or prospective purchaser, in order to permit compliance by such Noteholder or beneficial owner with Rule 144A in connection with the resale of such Note or beneficial interest therein by such Noteholder or beneficial owner in reliance on Rule 144A unless, at the time of such request, the Issuer is subject to the reporting requirements of Section 13 or 15(d) of the Exchange Act, or exempt from reporting pursuant to Rule 12g3-2(b) under the Exchange Act.
Appears in 10 contracts
Samples: Indenture (Hercules Capital, Inc.), Indenture (Horizon Technology Finance Corp), Indenture (Hercules Capital, Inc.)
Furnishing of Rule 144A Information. The Issuer will furnish, upon the written request of any Noteholder or of any owner of a beneficial interest therein, such information as is specified in paragraph (d)(4) of Rule 144A under the Securities Act (i) to such Noteholder or beneficial owner, (ii) to a prospective purchaser of such Note or interest therein who is a Qualified Institutional Buyer and a Qualified Purchaser designated by such Noteholder or beneficial owner, or (iii) to the Indenture Trustee for delivery to such Noteholder, beneficial owner or prospective purchaser, in order to permit compliance by such Noteholder or beneficial owner with Rule 144A in connection with the resale of such Note or beneficial interest therein by such Noteholder or beneficial owner in reliance on Rule 144A unless, at the time of such request, the Issuer is subject to the reporting requirements of Section 13 or 15(d) of the Exchange Act, or exempt from reporting pursuant to Rule 12g3-2(b) under the Exchange Act.
Appears in 8 contracts
Samples: Indenture (American Capital Strategies LTD), Indenture (Capitalsource Inc), Indenture (Capitalsource Inc)
Furnishing of Rule 144A Information. The Issuer will furnish, upon the written request of any Noteholder or of any owner of a beneficial interest therein, such information as is specified in paragraph (d)(4) of Rule 144A under the Securities Act (i) to such Noteholder or beneficial owner, (ii) to a prospective purchaser of such Note or interest therein who is a Qualified Institutional Buyer and a Qualified Purchaser designated by such Noteholder or beneficial owner, or (iii) to the Indenture Trustee for delivery to such Noteholder, beneficial owner or prospective purchaser, in order to permit compliance by such Noteholder or beneficial owner with Rule 144A in connection with the resale of such Note or beneficial interest therein by such Noteholder or beneficial owner in reliance on Rule 144A unless, at the time of such request, the Issuer is subject to the reporting requirements of Section 13 or 15(d) of the Exchange Act, or exempt from reporting pursuant to Rule 12g3-2(b) under the Exchange Act.
Appears in 8 contracts
Samples: Indenture (American Capital Strategies LTD), Indenture (Capitalsource Inc), Indenture (Capitalsource Inc)
Furnishing of Rule 144A Information. The Issuer will furnish, upon the written request of any Noteholder Holder or of any owner of a beneficial interest therein, such information as is specified in paragraph (d)(4) of Rule 144A under the Securities Act (i) to such Noteholder Holder or beneficial owner, (ii) to a prospective purchaser of such Note or interest therein who is a Qualified Institutional Buyer (and who is also a Qualified Purchaser Purchaser) designated by such Noteholder Holder or beneficial owner, or (iii) to the Indenture Trustee for delivery to such NoteholderHolder, beneficial owner or prospective purchaser, in order to permit compliance by such Noteholder Holder or beneficial owner with Rule 144A in connection with the resale of such Note or beneficial interest therein by such Noteholder Holder or beneficial owner in reliance on Rule 144A unless, at the time of such request, the Issuer is subject to the reporting requirements of Section 13 or 15(d) of the Exchange Act, or exempt from reporting pursuant to Rule 12g3-2(b) under the Exchange Act.
Appears in 2 contracts
Samples: Indenture (Officemax Inc), Indenture (Officemax Inc)
Furnishing of Rule 144A Information. The Issuer will furnish, upon the written request of any Noteholder or of any owner of a beneficial interest therein, such information as is specified in paragraph (d)(4) of Rule 144A under the Securities Act (i) to such Noteholder or beneficial ownerOwner, (ii) to a prospective purchaser of such Note or interest therein who is a Qualified Institutional Buyer and a Qualified Purchaser designated by such Noteholder or beneficial ownerOwner, or (iii) to the Trustee for delivery to such Noteholder, beneficial owner Owner or prospective purchaser, in order to permit compliance by such Noteholder or beneficial owner Owner with Rule 144A in connection with the resale of such Note or beneficial interest therein by such Noteholder or beneficial owner Owner in reliance on Rule 144A unless, at the time of such request, the Issuer is subject to the reporting requirements of Section 13 or 15(d) of the Exchange Act, or exempt from reporting pursuant to Rule 12g3-2(b) under the Exchange Act.
Appears in 2 contracts
Samples: Indenture (Horizon Technology Finance Corp), Indenture (Horizon Technology Finance Corp)