Common use of INFORMATION PROVIDED BY UNDERWRITERS Clause in Contracts

INFORMATION PROVIDED BY UNDERWRITERS. The Company and the Underwriters acknowledge and agree that (i) the concession and reallowance figures appearing under the caption “Underwriting—Underwriting Discounts” in the Prospectus, (ii) the statements set forth in the first sentence of each of the first and third paragraphs under the caption “Underwriting—Price Stabilization, Short Positions and Penalty Bids” in the Prospectus, and (iii) the list of Underwriters and their respective participation in the sale of the Shares, which is set forth in the table under the caption “Underwriting” in the Prospectus, constitute the only information furnished in writing by or on behalf of the several Underwriters for inclusion in the Prospectus.

Appears in 6 contracts

Samples: Underwriting Agreement (Main Street Capital CORP), Underwriting Agreement (Main Street Capital CORP), Underwriting Agreement (Main Street Capital CORP)

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INFORMATION PROVIDED BY UNDERWRITERS. The Company and the Underwriters acknowledge and agree that (i) the concession and reallowance figures appearing under the caption “Underwriting—Underwriting Commissions and Discounts” in the Prospectus, (ii) the statements set forth in the first sentence of each of the first and third second paragraphs under the caption “Underwriting—Price Stabilization, Stabilization and Short Positions and Penalty BidsPositions” in the Prospectus, and (iii) the list of Underwriters and their respective participation in the sale of the SharesSecurities, which is set forth in the table under the caption “Underwriting” in the Prospectus, constitute the only information furnished in writing by or on behalf of the several Underwriters for inclusion in the Prospectus.

Appears in 3 contracts

Samples: Underwriting Agreement (Main Street Capital CORP), Underwriting Agreement (Main Street Capital CORP), Underwriting Agreement (Main Street Capital CORP)

INFORMATION PROVIDED BY UNDERWRITERS. The Company Company, the Advisor and the Underwriters acknowledge and agree that (i) the concession and reallowance figures appearing in the “Underwriting” section under the caption “Underwriting—Underwriting Commissions and Discounts” in the Prospectus, (ii) the statements set forth information appearing in the first sentence of each of the first and third paragraphs “Underwriting” section under the caption “Underwriting—Price Stabilization, ; Short Positions and Penalty BidsPositions” in the Prospectus, Prospectus and (iii) the list of Underwriters and their respective participation in the sale of the Shares, which is set forth in the table under the caption “UnderwritingUnderwriters” in the Prospectus, constitute the only information furnished in writing by or on behalf of the several Underwriters for inclusion in the Prospectus.

Appears in 2 contracts

Samples: Underwriting Agreement (Stellus Capital Investment Corp), Underwriting Agreement (Stellus Capital Investment Corp)

INFORMATION PROVIDED BY UNDERWRITERS. The Company Company, the Adviser and the Underwriters acknowledge and agree that (i) the concession and reallowance figures appearing in the “Underwriting” section under the caption “Underwriting—Underwriting Commissions and Discounts” in the Prospectus, (ii) the statements set forth information appearing in the first sentence of each of the first and third paragraphs “Underwriting” section under the caption “Underwriting—Price Stabilization, ; Short Positions and Penalty BidsPositions” in the Prospectus, Prospectus and (iii) the list of Underwriters underwriters and their respective participation in the sale of the Shares, which is set forth in the table under the caption “UnderwritingUnderwriters” in the Final Prospectus, constitute the only information furnished in writing by or on behalf of the several Underwriters for inclusion in the Prospectus.

Appears in 2 contracts

Samples: Underwriting Agreement (Poliwogg Regenerative Medicine Fund, Inc.), Underwriting Agreement (Poliwogg Regenerative Medicine Fund, Inc.)

INFORMATION PROVIDED BY UNDERWRITERS. The Company and the Underwriters acknowledge and agree that (i) the concession and reallowance figures appearing under the caption “Underwriting—Underwriting (Conflicts of Interest)–Commissions and Discounts” in the Prospectus, (ii) the statements set forth in the first sentence of each of the first and third second paragraphs under the caption “Underwriting—Price Stabilization, Underwriting (Conflicts of Interest)–Price Stabilization and Short Positions and Penalty BidsPositions” in the Prospectus, and (iii) the list of Underwriters and their respective participation in the sale of the SharesSecurities, which is set forth in the first table under the caption “UnderwritingUnderwriting (Conflicts of Interest)” in the Prospectus, constitute the only information furnished in writing by or on behalf of the several Underwriters for inclusion in the Prospectus.

Appears in 2 contracts

Samples: Underwriting Agreement (Main Street Capital CORP), Underwriting Agreement (Main Street Capital CORP)

INFORMATION PROVIDED BY UNDERWRITERS. The Company Company, the Adviser and the Underwriters acknowledge and agree that (i) the concession and reallowance figures appearing in the “Underwriting” section under the caption “Underwriting—Underwriting Commissions and Discounts” in the Prospectus, (ii) the statements set forth information appearing in the first sentence of each of the first and third paragraphs “Underwriting” section under the caption “Underwriting—Price Stabilization, ; Short Positions and Penalty BidsPositions” in the Prospectus, Prospectus and (iii) the list of Underwriters underwriters and their respective participation in the sale of the Shares, which is set forth in the table under below the caption first paragraph appearing in the “Underwriting” section in the Final Prospectus, constitute the only information furnished in writing by or on behalf of the several Underwriters for inclusion in the Prospectus.

Appears in 2 contracts

Samples: Underwriting Agreement (Alcentra Capital Corp), Underwriting Agreement (Alcentra Capital Corp)

INFORMATION PROVIDED BY UNDERWRITERS. The Company and the Underwriters acknowledge and agree that (i) the concession and reallowance figures appearing under the caption “Underwriting—Underwriting Discounts” in the Prospectus, (ii) the statements set forth in the first sentence of each of the first and third paragraphs under the caption “Underwriting—Price Stabilization, Short Positions and Penalty Bids” in the Prospectus, (iii) the statements set forth in the first sentence under the caption “Underwriting—Passive Market Making Pursuant to Regulation M” in the Prospectus, and (iiiiv) the list of Underwriters and their respective participation in the sale of the Shares, which is set forth in the table under the caption “Underwriting” in the Prospectus, constitute the only information furnished in writing by or on behalf of the several Underwriters for inclusion in the Prospectus.

Appears in 2 contracts

Samples: Underwriting Agreement (Main Street Capital CORP), Underwriting Agreement (Main Street Capital CORP)

INFORMATION PROVIDED BY UNDERWRITERS. The Company and the Underwriters acknowledge and agree that (i) the concession and reallowance figures figure appearing under the caption “Underwriting—Underwriting (Conflicts of Interest)—Commissions and Discounts” in the Prospectus, (ii) the statements set forth in the first sentence of each of the first and third paragraphs paragraph under the caption “Underwriting—Price Stabilization, Short Positions and Penalty BidsUnderwriting (Conflicts of Interest)—Stabilization” in the Prospectus, and (iii) the list of Underwriters and their respective participation in the sale of the SharesSecurities, which is set forth in the table under the caption “UnderwritingUnderwriting (Conflicts of Interest)” in the Prospectus, constitute the only information furnished in writing by or on behalf of the several Underwriters for inclusion in the Prospectus.

Appears in 2 contracts

Samples: Underwriting Agreement (Capital Southwest Corp), Underwriting Agreement (Capital Southwest Corp)

INFORMATION PROVIDED BY UNDERWRITERS. The Company and the Underwriters acknowledge and agree that (i) the concession and reallowance figures appearing under the caption “Underwriting—Underwriting (Conflicts of Interest)—Commissions and Discounts” in the Prospectus, (ii) the statements set forth in the first sentence of each of the first and third second paragraphs under the caption “Underwriting—Price Stabilization, Short Positions and Penalty BidsUnderwriting (Conflicts of Interest)—Stabilization” in the Prospectus, and (iii) the list of Underwriters and their respective participation in the sale of the SharesSecurities, which is set forth in the table under the caption “UnderwritingUnderwriting (Conflicts of Interest)” in the Prospectus, constitute the only information furnished in writing by or on behalf of the several Underwriters for inclusion in the Prospectus.

Appears in 2 contracts

Samples: Underwriting Agreement (Capital Southwest Corp), Underwriting Agreement (Capital Southwest Corp)

INFORMATION PROVIDED BY UNDERWRITERS. The Company and the Underwriters acknowledge and agree that (i) the concession and reallowance figures appearing under the caption “Underwriting—Underwriting (Conflicts of Interest)–Commissions and Discounts” in the Prospectus, (ii) the statements set forth in the first sentence of each of the first and third second paragraphs under the caption “Underwriting—Price Stabilization, Underwriting (Conflicts of Interest)–Price Stabilization and Short Positions and Penalty BidsPositions” in the Prospectus, and (iii) the list of Underwriters and their respective participation in the sale of the SharesSecurities, which is set forth in the table under the caption “UnderwritingUnderwriting (Conflicts of Interest)” in the Prospectus, constitute the only information furnished in writing by or on behalf of the several Underwriters for inclusion in the Prospectus.

Appears in 2 contracts

Samples: Underwriting Agreement (Main Street Capital CORP), Underwriting Agreement (Main Street Capital CORP)

INFORMATION PROVIDED BY UNDERWRITERS. The Company and the Underwriters acknowledge and agree that (i) the concession and reallowance figures appearing under the caption “Underwriting—Underwriting (Conflicts of Interest)-Commissions and Discounts” in the Prospectus, (ii) the statements set forth in the first sentence of each of the first and third second paragraphs under the caption “Underwriting—Price Stabilization, Short Positions and Penalty BidsUnderwriting (Conflicts of Interest)-Stabilization” in the Prospectus, and (iii) the list of Underwriters and their respective participation in the sale of the SharesSecurities, which is set forth in the table under the caption “UnderwritingUnderwriting (Conflicts of Interest)” in the Prospectus, constitute the only information furnished in writing by or on behalf of the several Underwriters for inclusion in the Prospectus.

Appears in 2 contracts

Samples: Underwriting Agreement (Capital Southwest Corp), Underwriting Agreement (Capital Southwest Corp)

INFORMATION PROVIDED BY UNDERWRITERS. The Company and the Underwriters acknowledge and agree that (i) the concession and reallowance figures figure appearing under the caption “Underwriting—Underwriting (Conflicts of Interest)—Commissions and Discounts” in the Prospectus, (ii) the statements set forth in the first sentence of each of the first and third paragraphs paragraph under the caption “Underwriting—Price Stabilization, Short Positions and Penalty BidsUnderwriting (Conflicts of Interest)—Stabilization” in the Prospectus, and (iii) the list of Underwriters and their respective participation in the sale of the SharesSecurities, which is set forth in the table first paragraph under the caption “UnderwritingUnderwriting (Conflicts of Interest)” in the Prospectus, constitute the only information furnished in writing by or on behalf of the several Underwriters for inclusion in the Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Capital Southwest Corp)

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INFORMATION PROVIDED BY UNDERWRITERS. The Company Company, the Advisor and the Underwriters acknowledge and agree that (i) the concession and reallowance figures appearing in the “Underwriting” section under the caption “Underwriting—Underwriting Commissions and Discounts” in the Prospectus, (ii) the statements set forth information appearing in the first sentence of each of the first and third paragraphs “Underwriting” section under the caption “Underwriting—Price Stabilization, ; Short Positions and Penalty BidsPositions” in the Prospectus, Prospectus and (iii) the list of Underwriters underwriters and their respective participation in the sale of the Shares, which is set forth in the table under the caption “UnderwritingUnderwriters” in the Final Prospectus, constitute the only information furnished in writing by or on behalf of the several Underwriters for inclusion in the Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Stellus Capital Investment Corp)

INFORMATION PROVIDED BY UNDERWRITERS. The Company and the Underwriters acknowledge and agree that (i) the concession and reallowance figures appearing in the “Underwriting” section under the caption “Underwriting—Underwriting Discounts” in the Prospectus, ; (ii) the statements set forth information appearing in the first sentence of each of the first and third paragraphs “Underwriting” section under the caption “Underwriting—Price Stabilization, Short Positions and Penalty Bids” and “Passive Market Making Pursuant to Regulation M” in the Prospectus, ; and (iii) the list of Underwriters and their respective participation in the sale of the Shares, which is set forth Shares in the table under the caption “Underwriting” in the Prospectus, Prospectus constitute the only information furnished in writing by or on behalf of the several Underwriters for inclusion in the Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Main Street Capital CORP)

INFORMATION PROVIDED BY UNDERWRITERS. The Company Company, the Advisor and the Underwriters acknowledge and agree that [(i) the concession and reallowance figures appearing in the “Underwriting” section under the caption “Underwriting—Underwriting Commissions and Discounts” in the Prospectus, (ii) the statements set forth information appearing in the first sentence of each of the first and third paragraphs “Underwriting” section under the caption “Underwriting—Price Stabilization, ; Short Positions and Penalty BidsPositions” in the Prospectus, Prospectus and (iii) the list of Underwriters underwriters and their respective participation in the sale of the SharesSecurities, which is set forth in the table under below the caption first paragraph appearing in the “Underwriting” section in the Final Prospectus, ,] constitute the only information furnished in writing by or on behalf of the several Underwriters for inclusion in the Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Stellus Capital Investment Corp)

INFORMATION PROVIDED BY UNDERWRITERS. The Company and the Underwriters acknowledge and agree that (i) the statements regarding delivery of the Securities set forth in the last paragraph of the cover page and in the paragraph under the heading “Underwriting—Alternative Settlement Cycle,” (ii) the concession and reallowance figures appearing under the caption “Underwriting—Underwriting Commissions and Discounts” in the Prospectus, (iiiii) the statements set forth in the first sentence of each of the first and third second paragraphs under the caption “Underwriting—Price Stabilization, Stabilization and Short Positions and Penalty BidsPositions” in the Prospectus, and (iiiiv) the list of Underwriters and their respective participation in the sale of the SharesSecurities, which is set forth in the table under the caption “Underwriting” in the Prospectus, constitute the only information furnished in writing by or on behalf of the several Underwriters for inclusion in the Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Main Street Capital CORP)

INFORMATION PROVIDED BY UNDERWRITERS. The Company and the Underwriters acknowledge and agree that (i) the concession and reallowance figures appearing under the caption “Underwriting—Underwriting Discounts” in the Prospectus, (ii) the statements set forth in the first sentence of each of the first and third paragraphs under the caption “Underwriting—Price Stabilization, Short Positions and Penalty Bids” in the Prospectus, and (iiiii) the list of Underwriters and their respective participation in the sale of the Shares, which is set forth in the table under the caption “Underwriting” in the Prospectus, constitute the only information furnished in writing by or on behalf of the several Underwriters for inclusion in the Prospectus.

Appears in 1 contract

Samples: Purchase Agreement (Main Street Capital CORP)

INFORMATION PROVIDED BY UNDERWRITERS. The Company and the Underwriters acknowledge and agree that (i) the concession and reallowance figures appearing under the caption “Underwriting—Underwriting (Conflicts of Interest)—Commissions and Discounts” in the Prospectus, (ii) the statements set forth in the first sentence of each of the first and third second paragraphs under the caption “Underwriting—Price Stabilization, Underwriting (Conflicts of Interest)—Price Stabilization and Short Positions and Penalty BidsPositions” in the Prospectus, and (iii) the list of Underwriters and their respective participation in the sale of the SharesSecurities, which is set forth in the table under the caption “UnderwritingUnderwriting (Conflicts of Interest)” in the Prospectus, constitute the only information furnished in writing by or on behalf of the several Underwriters for inclusion in the Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Main Street Capital CORP)

INFORMATION PROVIDED BY UNDERWRITERS. The Company Company, the Advisor and the Underwriters acknowledge and agree that (i) the concession and reallowance figures appearing in the “Underwriting” section under the caption “Underwriting—Underwriting Commissions and Discounts” in the Prospectus, (ii) the statements set forth information appearing in the first sentence of each of the first and third paragraphs “Underwriting” section under the caption “Underwriting—Price Stabilization, Short Positions and Penalty BidsPositions” in the Prospectus, and (iii) the first sentence in the second paragraph appearing in the “Underwriting” section under the caption “Listing” in the Prospectus and (iv) the list of Underwriters underwriters and their respective participation in the sale of the SharesSecurities, which is set forth in the table under below the caption first paragraph appearing in the “Underwriting” section in the Final Prospectus, constitute the only information furnished in writing by or on behalf of the several Underwriters for inclusion in the Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Stellus Capital Investment Corp)

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