Holding Company Act and Investment Company Act. Neither the Company nor any Subsidiary is: (i) a "public utility company" or a "holding company," or an "affiliate" or a "subsidiary company" of a "holding company," or an "affiliate" of such a "subsidiary company," as such terms are defined in the Public Utility Holding Company Act of 1935, as amended, or (ii) a "public utility," as defined in the Federal Power Act, as amended, or (iii) an "investment company" or an "affiliated person" thereof or an "affiliated person" of any such "affiliated person," as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 13 contracts
Samples: Securities Purchase Agreement (Recovery Engineering Inc), Warrant Purchase Agreement (Healthgate Data Corp), Warrant Purchase Agreement (Healthgate Data Corp)
Holding Company Act and Investment Company Act. Neither the ---------------------------------------------- Company nor any Subsidiary is: (i) a "public utility company" or a "holding company," or an "affiliate" or a "subsidiary company" of a "holding company," or an "affiliate" of such a "subsidiary company," as such terms are defined in the Public Utility Holding Company Act of 1935, as amended, or (ii) a "public utility," as defined in the Federal Power Act, as amended, or (iii) an "investment company" or an "affiliated person" thereof or an "affiliated person" of any such "affiliated person," as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Gensia Sicor Inc), Stock Purchase Agreement (Homestore Com Inc), Stock Purchase Agreement (Homestore Com Inc)
Holding Company Act and Investment Company Act. Neither the Company nor any Subsidiary of its Subsidiaries is: (i) a "public utility company" or a "holding company," or an "affiliate" or a "subsidiary company" of a "holding company," or an "affiliate" of such a "subsidiary company," as such terms are defined in the Public Utility Holding Company Act of 1935, as amended, or (ii) a "public utility," as defined in the Federal Power Act, as amended, or (iii) an "investment company" or an "affiliated person" thereof or an "affiliated person" of any such "affiliated person," as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Note Purchase Agreement (Q Med Inc), Securities Purchase Agreement (Q Med Inc), Loan Agreement (SDC International Inc \De\)
Holding Company Act and Investment Company Act. Neither the The Company nor any Subsidiary isis not: (i) a "public utility company" or a "holding company," ", or an "affiliate" or a "subsidiary company" of a "holding company," ", or an "affiliate" of such a "subsidiary company," ", as such terms are defined in the Public Utility Holding Company Act of 1935, as amended, or (ii) a "public utility," ", as defined in the Federal Power Act, as amended, or (iii) an "investment company" or an "affiliated person" thereof or an "affiliated person" of any such "affiliated person," ", as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Convertible Note Purchase Agreement (Bio Plexus Inc), Convertible Note Purchase Agreement (Appaloosa Management Lp)
Holding Company Act and Investment Company Act. Neither --------------------------------------------------- the Company nor any Subsidiary its subsidiaries is: (i) a "public utility company" or a "holding company," or an "affiliate" or a "subsidiary company" of a "holding company," or an "affiliate" of such a "subsidiary company," as such terms are defined in the Public Utility Holding Company Act of 1935, as amended, or (ii) a "public utility," as defined in the Federal Power Act, as amended, or (iii) an "investment company" or an "affiliated person" thereof or an "affiliated person" of any such "affiliated person," as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Lasersight Inc /De), Securities Purchase Agreement (Lasersight Inc /De)
Holding Company Act and Investment Company Act. Neither the Company nor any Subsidiary its subsidiaries is: (i) a "public utility company" or a "holding company," or an "affiliate" or a "subsidiary company" of a "holding company," or an "affiliate" of such a "subsidiary company," as such terms are defined in the Public Utility Holding Company Act of 1935, as amended, or (ii) a "public utility," as defined in the Federal Power Act, as amended, or (iii) an "investment company" or an "affiliated person" thereof or an "affiliated person" of any such "affiliated person," as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Lasersight Inc /De), Securities Purchase Agreement (Lasersight Inc /De)
Holding Company Act and Investment Company Act. Neither the Company nor any Subsidiary of the Subsidiaries is: (i) a "public utility company" or a "holding company," or an "affiliate" or a "subsidiary company" of a "holding company," or an "affiliate" of such a "subsidiary company," as such terms are defined in the Public Utility Holding Company Act of 1935, as amended, or (ii) a "public utility," as defined in the Federal Power Act, as amended, or (iii) an "investment company" or an "affiliated person" thereof or an "affiliated person" of any such "affiliated person," as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Penske Capital Partners LLC), Securities Purchase Agreement (Goldman Sachs Group Inc)
Holding Company Act and Investment Company Act. Neither the The Company nor any Subsidiary isis not: (i) a "public utility company" or a "holding company," or an "affiliate" or a "subsidiary company" of a "holding company," or an "affiliate" of such a "subsidiary company," as such terms are defined in the Public Utility Holding Company Act of 1935, as amended, or (ii) a "public utility," as defined in the Federal Power Act, as amended, or (iii) an "investment company" or an "affiliated person" thereof or an "affiliated person" of any such "affiliated person," as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Convertible Note Purchase Agreement (Bio Plexus Inc), Convertible Note Purchase Agreement (Appaloosa Management Lp)
Holding Company Act and Investment Company Act. Neither the ---------------------------------------------- Company nor any Subsidiary of the Subsidiaries is: (i) a "public utility company" or a "holding company," or an "affiliate" or a "subsidiary company" of a "holding company," or an "affiliate" of such a "subsidiary company," as such terms are defined in the Public Utility Holding Company Act of 1935, as amended, or (ii) a "public utility," as defined in the Federal Power Act, as amended, or (iii) an "investment company" or an "affiliated person" thereof or an "affiliated person" of any such "affiliated person," as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Holding Company Act and Investment Company Act. Neither the Company nor any Subsidiary is: (i) a "public utility company" or a "holding company," or an "affiliate" or a "subsidiary company" of a "holding company," or an "affiliate" of such a "subsidiary company," as such terms are defined in the Public Utility Holding Company Act of 1935, as amended, or (ii) a "public utility," as defined in the Federal Power Act, as amended, or (iii) an "investment company" or an "affiliated person" thereof or an "affiliated person" of any such "affiliated person," as such terms are defined in the Investment Company Act of 1940, as amended.affiliated
Appears in 1 contract
Samples: Securities Purchase Agreement (Krauses Furniture Inc)
Holding Company Act and Investment Company Act. Neither ---------------------------------------------- the Company nor any Subsidiary is: (i) a "public utility company" or a "holding company," or an "affiliate" or a "subsidiary company" of a "holding company," or an "affiliate" of such a "subsidiary company," as such terms are defined in the Public Utility Holding Company Act of 1935, as amended, or (ii) a "public utility," as defined in the Federal Power Act, as amended, or (iii) an "investment company" or an "affiliated person" thereof or an "affiliated person" of any such "affiliated person," as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Holding Company Act and Investment Company Act. Neither the --------------------------------------------------- Company nor any Subsidiary its subsidiaries is: (i) a "public utility company" or a "holding company," or an "affiliate" or a "subsidiary company" of a "holding company," or an "affiliate" of such a "subsidiary company," as such terms are defined in the Public Utility Holding Company Act of 1935, as amended, or (ii) a "public utility," as defined in the Federal Power Act, as amended, or (iii) an "investment company" or an "affiliated person" thereof or an "affiliated person" of any such "affiliated person," as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Holding Company Act and Investment Company Act. Neither the Company nor any Subsidiary of the Subsidiaries is: (i) a i)a "public utility company" or a "holding company," or an "affiliate" or a "subsidiary company" of a "holding company," or an "affiliate" of such a "subsidiary company," as such terms are defined in the Public Utility Holding Company Act of 1935, as amended, or (ii) a ii)a "public utility," as defined in the Federal Power Act, as amended, or (iii) an iii)an "investment company" or an "affiliated person" thereof or an "affiliated person" of any such "affiliated person," as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (United Auto Group Inc)
Holding Company Act and Investment Company Act. Neither the No Company nor any Subsidiary Entity is: (i) a "public utility company" or a "holding company," or an "affiliate" or a "subsidiary company" of a "holding company," or an "affiliate" of such a "subsidiary company," as such terms are defined in the Public Utility Holding Company Act of 1935, as amended, or (ii) a "public utility," as defined in the Federal Power Act, as amended, or (iii) an "investment company" or an "affiliated person" thereof or an "affiliated person" of any such "affiliated person," as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Stock Purchase Agreement (SDC International Inc \De\)
Holding Company Act and Investment Company Act. Neither the Company nor any its Subsidiary is: (i) a "public utility company" or a "holding company," or an "affiliate" or a "subsidiary company" of a "holding company," or an "affiliate" of such a "subsidiary company," as such terms are defined in the Public Utility Holding Company Act of 1935, as amended, or (ii) a "public utility," as defined in the Federal Power Act, as amended, or (iii) an "investment company" or an "affiliated person" thereof or an "affiliated person" of any such "affiliated person," as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Preferred Stock Purchase Agreement (Digital Generation Systems Inc)
