Investment Company Act; Public Utility Holding Company Act. The Borrower is not (a) an "investment company" as defined in, or subject to regulation under, the Investment Company Act of 1940 or (b) subject to regulation as a "holding company" under the Public Utility Holding Company Act of 1935.
Appears in 7 contracts
Samples: Revolving Credit Agreement (Avista Corp), Credit Agreement (Avista Corp), Revolving Credit Agreement (Washington Water Power Co)
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (a) an "“investment company" ” or a company “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, or (b) a “holding company” as defined in, or subject to regulation under, the Investment Company Act of 1940 or (b) subject to regulation as a "holding company" under the Public Utility Holding Company Act of 1935.
Appears in 4 contracts
Samples: Credit Agreement (Aetna Inc /Pa/), Credit Agreement (Aetna Inc /Pa/), 364 Day Credit Agreement (Aetna Inc /Pa/)
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (a) an "investment company" or a company "controlled" by an "investment company" within the meaning of the Investment Company Act of 1940, as amended, or (b) a "holding company" as defined in, or subject to regulation under, the Investment Company Act of 1940 or (b) subject to regulation as a "holding company" under the Public Utility Holding Company Act of 1935.
Appears in 4 contracts
Samples: Credit Agreement (Aetna Inc /Pa/), Bridge Credit Agreement (Aetna U S Healthcare Inc), Credit Agreement (Aetna U S Healthcare Inc)
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (ai) an "investment company" as defined in, or subject to regulation under, a company "controlled" by an "investment company," within the meaning of the Investment Company Act of 1940 1940, as amended, or (bii) subject to regulation as a "holding company" under or a company controlled by a "holding company" within the Public Utility Holding Company Act meaning of 1935PUHCA.
Appears in 3 contracts
Samples: Credit Agreement (Ultramar Diamond Shamrock Corp), Loan Agreement (Ultramar Diamond Shamrock Corp), Credit Agreement (Ultramar Diamond Shamrock Corp)
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (ai) an "“investment company" as defined in, ” or subject to regulation under, “controlled” by an investment company within the meaning of the Investment Company Act of 1940 1940, as amended, or (bii) subject to regulation as a "“holding company" under ” or a “subsidiary company” of a “holding company” or an “affiliate” of a “holding company” or of a “subsidiary company” of a “holding company,” within the meaning of the Public Utility Holding Company Act of 1935, as amended.
Appears in 2 contracts
Samples: Secured Credit Facility and Warrant Purchase Agreement (Environmental Tectonics Corp), Secured Credit Facility and Warrant Purchase Agreement (Environmental Tectonics Corp)
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (a) an "“investment company" ” as that term is defined in, or and is not otherwise subject to regulation under, the Investment Company Act of 1940 or (b) 1940, as amended. The Borrower is not a “holding company” as that term is defined in, and is not otherwise subject to regulation as a "holding company" under under, the Public Utility Holding Company Act of 1935, as amended.
Appears in 2 contracts
Samples: Line of Credit Agreement (Commonwealth Telephone Enterprises Inc /New/), Line of Credit Agreement (Commonwealth Telephone Enterprises Inc /New/)
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (a) an "investment company" as that term is defined in, or and is not otherwise subject to regulation under, the Investment Company Act of 1940 or (b) subject to regulation as 1940. The Borrower is not a "holding company" under as that term is defined in, and is not otherwise subject to regulation under, the Public Utility Holding Company Act of 1935.
Appears in 2 contracts
Samples: Loan and Security Agreement (American Communications Services Inc), Loan and Security Agreement (Mercury Inc)
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (ai) an "investment company" as defined in, or subject to regulation under, "controlled" by an investment company within the meaning of the Investment Company Act of 1940 1940, as amended, or (bii) subject to regulation as a "holding company" under or a "subsidiary company" of a "holding company" or an "affiliate" of a "holding company" or of a "subsidiary company" of a "holding company," within the meaning of the Public Utility Holding Company Act of 1935, as amended.
Appears in 2 contracts
Samples: Convertible Note and Warrant Purchase Agreement (Environmental Tectonics Corp), Convertible Note and Warrant Purchase Agreement (Lenfest H F)
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (a) an "“investment company" as defined in, ” or subject to regulation under, a company “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940 or (b) subject to regulation 1940, as amended, and Borrower is not a "“holding company" under ,” a “subsidiary company” thereof or an “affiliate” of a “holding company” or of such a “subsidiary company,” each within the meaning of the Public Utility Holding Company Act of 1935, as amended.
Appears in 2 contracts
Samples: Loan Agreement (Paycom Software, Inc.), Loan Agreement (Paycom Software, Inc.)
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (a) an "investment company" as that term is defined in, or and is not otherwise subject to regulation under, the Investment Company Act of 1940 or (b) subject to regulation 1940, as amended. The Borrower is not a "holding company" under as that term is defined in, and is not otherwise subject to regulation under, the Public Utility Holding Company Act of 1935, as amended.
Appears in 2 contracts
Samples: Line of Credit Agreement (Commonwealth Telephone Enterprises Inc /New/), Line of Credit Agreement (Commonwealth Telephone Enterprises Inc /New/)
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (a) an "investment company" as defined in, or subject to regulation under, "person directly or indirectly controlled by or acting on behalf of an investment company" within the meaning of the Investment Company Act of 1940 1940, or (b) subject to regulation as a "holding company" under or a "subsidiary company" of a "holding company", or an "affiliate" of a "holding company" or of a "subsidiary company" of a "holding company", within the meaning of the Public Utility Holding Company Act of 1935.
Appears in 2 contracts
Samples: Loan and Security Agreement (Dan River Inc /Ga/), Loan Agreement (Fresh Foods Inc)
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (a) an "investment company" as defined in, or is otherwise subject to regulation under, the Investment Company Act of 1940 or (b) subject to regulation as a "holding company" under as that term is defined in, or is otherwise subject to regulation under, the Public Utility Holding Company Act of 19351935 or (c) subject to any other federal or state law or regulation that purports to restrict or regulate its ability to borrow money in accordance with this Agreement.
Appears in 2 contracts
Samples: Credit Agreement (Capital Trust), Credit Agreement (Capital Trust)
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (a) an "“investment company" as defined in, ” or subject to regulation under, a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940 1940, as amended, or (b) subject to regulation as a "“holding company" under ,” a “subsidiary company” of a “holding company” or an “affiliate” of a “holding company” or of a “subsidiary company” of a “holding company,” within the meaning of the Public Utility Holding Company Act of 1935, as amended.
Appears in 1 contract
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (a) an "“investment company" ” as defined in, or subject to regulation under, the Investment Company Act of 1940 or (b) a “holding company” as defined in, or subject to regulation as a "holding company" under under, the Public Utility Holding Company Act of 1935.
Appears in 1 contract
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (a) an "“investment company" ” as defined in, or subject to regulation under, the Investment Company Act of 1940 or (b) a “holding company” as defined in, or subject to regulation as a "holding company" under under, the Public Utility Holding Company Act of 1935.
Appears in 1 contract
Samples: Credit Agreement (Decorize Inc)
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (a) an "investment company" registered or required to be registered under the Investment Company Act of 1940, as amended, nor is it controlled by such a company. The Borrower is not a "holding company" as defined in, or subject to regulation under, the Investment Company Act of 1940 or (b) subject to regulation as a "holding company" under the Public Utility Holding Company Act of 1935, as amended.
Appears in 1 contract
Samples: Revolving Credit, Term Loan and Security Agreement (Tristar Corp)
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (a) an "“investment company" ” or a company “controlled” by an “investment company,” as defined in, or subject to regulation registration under, the Investment Company Act of 1940 or (b) subject to regulation 1940, as a "holding company" under the Public Utility Holding Company Act of 1935amended.
Appears in 1 contract
Samples: Senior Secured Debtor in Possession Credit Agreement
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (ai) an "investment company" as defined in, or subject to regulation under, a company controlled by an "investment company" within the meaning of the Investment Company Act of 1940 1940, as amended or (bii) subject to regulation as a "public utility holding company" or a "holding company" under or a "subsidiary company" of a "holding company" or an "affilate" of a "holding company" within the meaning of the Public Utility Holding Company Act of 1935, as amended.
Appears in 1 contract
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (a) is not an "investment company" as defined in, or subject to regulation under, company within the meaning of the Investment Company Act of 1940 or and (b) subject to regulation as a "holding company" is exempt from registration under the Public Utility Holding Company Act of 19351935 pursuant to Section 3(a)(1) thereof.
Appears in 1 contract
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (a) an "investment company" as defined in, or subject to regulation under, a company controlled by an "investment company" within the meaning of the Investment Company Act of 1940 or (b) subject to regulation 1940, as amended. Borrower is not a "holding company" under within the meaning of the Public Utility Holding Company Act of 1935, as amended.
Appears in 1 contract
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (a) an "investment company" as that term is defined in, or otherwise subject to regulation under, the Investment Company Act of 1940 or (b) subject to regulation 1940, as amended. The Borrower is not a "holding company" under as that term is defined in, or otherwise subject to regulation under, the Public Utility Holding Company Act of 1935, as amended.
Appears in 1 contract
Samples: Master Loan Agreement (Shenandoah Telecommunications Co/Va/)
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (a) an "investment company", or a company "controlled" by an "investment company", within the meaning of the Investment Company Act of 1940, as amended or (b) a "holding company" as defined in, or subject to regulation under, the Investment Company Act of 1940 or (b) subject to regulation as a "holding company" under the Public Utility Holding Company Act of 1935.1935 as amended. Credit Agreement ----------------
Appears in 1 contract
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (ai) an "investment company" as defined in, or subject to regulation under, "controlled" by an investment company within the meaning of the Investment Company Act of 1940 1940, as amended, or (bii) subject to regulation as a "holding company" under or a "subsidiary company" of a "holding company" or an "affiliate" of a "holding company" or of a "subsidiary company" of a "holding company," within the meaning of the Public Utility Holding Company Act of 1935, as amended.
Appears in 1 contract
Samples: Senior Subordinated Note Purchase Agreement (Rand Logistics, Inc.)
Investment Company Act; Public Utility Holding Company Act. The Such Borrower is not (a) an "“investment company" ” as that term is defined in, or and is not otherwise subject to regulation under, the Investment Company Act of 1940 or (b) 1940. Such Borrower is not a “holding company” as that term is defined in, and is not otherwise subject to regulation as a "holding company" under under, the Public Utility Holding Company Act of 1935.
Appears in 1 contract
Investment Company Act; Public Utility Holding Company Act. The Such Borrower is not (a) an "investment company" as that term is defined in, or and is not otherwise subject to regulation under, the Investment Company Act of 1940 or (b) subject to regulation as 1940. Such Borrower is not a "holding company" under as that term is defined in, and is not otherwise subject to regulation under, the Public Utility Holding Company Act of 1935.
Appears in 1 contract
Samples: Loan and Security Agreement (KMC Telecom Holdings Inc)
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (a) an "investment company" as defined in, or subject to regulation under, a company "controlled" by an "investment company" within the meaning of the Investment Company Act of 1940 1940, as amended, and Borrower is not a "holding company," a "subsidiary company" thereof or (b) subject to regulation as an "affiliate" of a "holding company" under or of such a "subsidiary company," each within the meaning of the Public Utility Holding Company Act of 1935, as amended.
Appears in 1 contract
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (a) an "investment company" as defined in, or subject to regulation under, the Investment Company Act of 1940 1940, as amended, or (b) subject to regulation as a "holding company" under as defined in, or subject to regulation under, the Public Utility Holding Company Act of 1935.
Appears in 1 contract
Samples: Credit Agreement (HFS Inc)
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (a) an "investment company" as defined in, or subject 51 46 to regulation under, the Investment Company Act of 1940 or (b) subject to regulation as a "holding company" under the Public Utility Holding Company Act of 1935.
Appears in 1 contract
Samples: Credit Agreement (Avista Corp)
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (a) an "“investment company" ” or a company “controlled” by an “investment company” (as each of the quoted terms is defined in, or subject to regulation under, used in the Investment Company Act of 1940 or (b) subject to regulation 1940, as amended). Borrower is not a "“holding company" under ” or a “subsidiary company” of a “holding company” or an “affiliate” of a “holding company” or a “public utility” within the meaning of the Public Utility Holding Company Act of 1935, as amended.
Appears in 1 contract
Samples: Loan and Security Agreement (Access Worldwide Communications Inc)
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (a) an "investment company", or a company "controlled" by an "investment company", within the meaning of the Investment Company Act of 1940, as amended or (b) a "holding company" as defined in, or subject to regulation under, the Investment Company Act of 1940 or (b) subject to regulation as a "holding company" under the Public Utility Holding Company Act of 19351935 as amended.
Appears in 1 contract
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (ai) an "investment company" as defined in, or subject to regulation under, a company "controlled" by an "investment company" within the meaning of the Investment Company Act of 1940 1940, as amended, or (bii) subject to regulation as a "holding company," a "subsidiary company" thereof or an "affiliate" of a "holding company" under or of such a "subsidiary company," each within the meaning of the Public Utility Holding Company Act of 1935, as amended.
Appears in 1 contract
Samples: Loan Agreement (Beard Co /Ok)
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (a) an "investment company" as defined in, or subject to regulation under, the Investment Company Act of 1940 or (b) subject to regulation as a "holding company" under as defined in, or subject to regulation under, the Public Utility Holding Company Act of 1935.
Appears in 1 contract
Samples: Secured Line of Credit Loan Agreement (Surgilight Inc)
Investment Company Act; Public Utility Holding Company Act. The Borrower is not (a) an "investment company" as defined in, or subject to regulation under, the Investment Company Act of 1940 or (b) subject to regulation as a "holding company" under the Public Utility 55 56 Holding Company Act of 1935.
Appears in 1 contract
Investment Company Act; Public Utility Holding Company Act. The Borrower Debtor is not (a) an "investment company" as defined in, or subject to regulation under, the Investment Company Act of 1940 or (b) subject to regulation as a "holding company" under as defined in, or subject to regulation under, the Public Utility Holding Company Act of 1935.
Appears in 1 contract
