Common use of Investment Company Act Clause in Contracts

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under the Investment Company Act.

Appears in 371 contracts

Samples: Underwriting Agreement (Cantor Equity Partners I, Inc.), Underwriting Agreement (Mountain Lake Acquisition Corp.), Underwriting Agreement (Mountain Lake Acquisition Corp.)

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Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Statutory Prospectus and Prospectus will not be required, to register as an “investment company” under the Investment Company Act.

Appears in 242 contracts

Samples: Underwriting Agreement (ChampionsGate Acquisition Corp), Underwriting Agreement (CO2 Energy Transition Corp.), Underwriting Agreement (GSR III Acquisition Corp.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Public Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under the Investment Company Act.

Appears in 235 contracts

Samples: Underwriting Agreement (Ribbon Acquisition Corp.), Underwriting Agreement (Ribbon Acquisition Corp.), Underwriting Agreement (Tavia Acquisition Corp.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 84 contracts

Samples: Underwriting Agreement (AutoGenomics, Inc.), Underwriting Agreement (AutoGenomics, Inc.), Underwriting Agreement (Arqule Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act.

Appears in 39 contracts

Samples: Underwriting Agreement (Translational Development Acquisition Corp.), Underwriting Agreement (Plum Acquisition Corp, IV), Underwriting Agreement (Plum Acquisition Corp, IV)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an "investment company" under the Investment Company Act of 1940, as amended (the "1940 Act").

Appears in 38 contracts

Samples: Purchase Agreement (Theravance Inc), Purchase Agreement (Jamdat Mobile Inc), Purchase Agreement (Interactive Health, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under the Investment Company Act.

Appears in 35 contracts

Samples: Underwriting Agreement (Andina Acquisition Corp. II), Underwriting Agreement (Andina Acquisition Corp. II), Underwriting Agreement (Andina Acquisition Corp. II)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under the Investment Company ActAct of 1940, as amended.

Appears in 31 contracts

Samples: Purchase Agreement (Orix Corp), Underwriting Agreement (Nomura Holdings Inc), Purchase Agreement (Orix Corp)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an a registered management investment company” under the Investment Company 1940 Act.

Appears in 29 contracts

Samples: Equity Distribution Agreement (Ares Capital Corp), Equity Distribution Agreement (Ares Capital Corp), Equity Distribution Agreement (Ares Capital Corp)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an a registered management investment company” under the Investment Company 1940 Act.

Appears in 29 contracts

Samples: Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Underwritten Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an a registered management investment company” under the Investment Company 1940 Act.

Appears in 24 contracts

Samples: Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under within the meaning of the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 18 contracts

Samples: At the Market Equity Offering Sales Agreement (ClearPoint Neuro, Inc.), At the Market Equity Offering Sales Agreement (ONESPAWORLD HOLDINGS LTD), At the Market Equity Offering Sales Agreement (Ligand Pharmaceuticals Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of (i) the Public Securities, the Placement Securities and the Founder Shares as herein contemplated and the application of the net proceeds therefrom, or (ii) the Securities as herein contemplated and the application of the net proceeds therefrom therefrom, in each case, as described in the Sale Preliminary Prospectus and IPO Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (“Investment Company Act”).

Appears in 18 contracts

Samples: Underwriting Agreement (B. Riley Principal 250 Merger Corp.), Underwriting Agreement (B. Riley Principal 250 Merger Corp.), Underwriting Agreement (B. Riley Principal 250 Merger Corp.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company ActAct of 1940, as amended.

Appears in 17 contracts

Samples: Underwriting Agreement (DZS Inc.), Underwriting Agreement (Minim, Inc.), Underwriting Agreement (Realnetworks Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under within the meaning of the Investment Company ActAct of 1940, as amended.

Appears in 16 contracts

Samples: Capital on Demand Sales Agreement (aTYR PHARMA INC), At the Market Equity Offering Sales Agreement (Momenta Pharmaceuticals Inc), At the Market Equity Offering Sales Agreement (Viking Therapeutics, Inc.)

Investment Company Act. The Company is not requiredrequired and, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus Prospectus, will not be required, required to register as an “investment company” under as such term is used in the Investment Company 1940 Act.

Appears in 15 contracts

Samples: Equity Distribution Agreement (PennantPark Floating Rate Capital Ltd.), Equity Distribution Agreement (PennantPark Floating Rate Capital Ltd.), Equity Distribution Agreement (PennantPark Floating Rate Capital Ltd.)

Investment Company Act. The Company is not requiredrequired and, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus Prospectus, will not be required, required to register as an a management investment company” under the Investment Company 1940 Act.

Appears in 10 contracts

Samples: Underwriting Agreement (Goldman Sachs BDC, Inc.), Underwriting Agreement (Goldman Sachs BDC, Inc.), Underwriting Agreement (Goldman Sachs BDC, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company ActAct of 1940, as amended.

Appears in 10 contracts

Samples: Underwriting Agreement (United Community Banks Inc), Underwriting Agreement (Wintrust Financial Corp), Underwriting Agreement (Keyw Holding Corp)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an a management investment company” under the Investment Company 1940 Act.

Appears in 8 contracts

Samples: Underwriting Agreement (Runway Growth Finance Corp.), Underwriting Agreement (Runway Growth Finance Corp.), Underwriting Agreement (Runway Growth Finance Corp.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as contemplated herein contemplated and the application of the net proceeds therefrom thereof as described contemplated in the Sale Preliminary Prospectus Disclosure Package and the Prospectus will not be required, to register as an “investment company” under or an entity “controlled” by an “investment company” as such terms are defined in the Investment Company ActAct of 1940, as amended.

Appears in 7 contracts

Samples: Purchase Agreement (Sierra Pacific Resources /Nv/), Purchase Agreement (Nv Energy, Inc.), Purchase Agreement (Nevada Power Co)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company ActAct of 1940, as amended.

Appears in 7 contracts

Samples: Underwriting Agreement (SM Energy Co), Underwriting Agreement (SM Energy Co), Underwriting Agreement (SM Energy Co)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Statutory Prospectus and the Prospectus will not be required, to register as an “investment company” under the Investment Company ActAct of 1940, as amended.

Appears in 7 contracts

Samples: Underwriting Agreement (Abacus Life, Inc.), Underwriting Agreement (Abacus Life, Inc.), Underwriting Agreement (Abacus Life, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Placement Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus Registration Statement and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “Investment Company Act”).

Appears in 7 contracts

Samples: Sales Agreement (Rani Therapeutics Holdings, Inc.), Capital on Demand Sales Agreement (Adicet Bio, Inc.), Sales Agreement (Spero Therapeutics, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under the Investment Company Act.

Appears in 6 contracts

Samples: Underwriting Agreement (ASPAC III Acquisition Corp.), Underwriting Agreement (ASPAC III Acquisition Corp.), Underwriting Agreement (SPAC III Acquisition Corp.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus Registration Statement and the Prospectus will not be required, to register as an "investment company" under the Investment Company Act of 1940, as amended (the "1940 Act").

Appears in 6 contracts

Samples: At the Market Offering Agreement (Bionomics Limited/Fi), Underwriting Agreement (Navitas International CORP), Underwriting Agreement (Navitas International CORP)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under within the meaning of the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 6 contracts

Samples: Atm Equity Offering Sales Agreement (Home Properties Inc), Atm Equity Offering Sales Agreement (Home Properties Inc), Atm Equity Offering Sales Agreement (Home Properties Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus General Disclosure Package and the Prospectus will not be required, to register as as, an “investment company” under the Investment Company ActAct of 1940, as amended.

Appears in 6 contracts

Samples: Underwriting Agreement (Northern Trust Corp), Underwriting Agreement (Northern Trust Corp), Underwriting Agreement (Northern Trust Corp)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom herefrom as described in the Sale Preliminary Statutory Prospectus and Prospectus or the Prospectus, will not be required, to register as an “investment company” under the Investment Company ActAct of 1940, as amended.

Appears in 6 contracts

Samples: Underwriting Agreement (Biomarin Pharmaceutical Inc), Underwriting Agreement (Biomarin Pharmaceutical Inc), Underwriting Agreement (Biomarin Pharmaceutical Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus Registration Statement and the Prospectus will not be required, to register as an “investment company” under within the meaning of the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 5 contracts

Samples: At the Market Equity Offering Sales Agreement (Cue Biopharma, Inc.), At the Market Equity Offering Sales Agreement (Cue Biopharma, Inc.), At the Market Equity Offering Sales Agreement (Cue Biopharma, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “a "registered management investment company" under the Investment Company 1940 Act.

Appears in 5 contracts

Samples: Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “Investment Company Act”).

Appears in 5 contracts

Samples: Equity Distribution Agreement (PennyMac Mortgage Investment Trust), Equity Distribution Agreement (PennyMac Mortgage Investment Trust), Equity Distribution Agreement (PennyMac Mortgage Investment Trust)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Offered Shares as herein contemplated and the application of the net proceeds therefrom as described in the Time of Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” within the meaning of such term under the Investment Company ActAct of 1940, as amended, and the rules and regulations of the Commission promulgated thereunder.

Appears in 5 contracts

Samples: Underwriting Agreement (Gulfport Energy Corp), Underwriting Agreement (Gulfport Energy Corp), Underwriting Agreement (Gulfport Energy Corp)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an "investment company" under the Investment Company Act.

Appears in 4 contracts

Samples: Underwriting Agreement (Arbor Rapha Capital Bioholdings Corp. I), Underwriting Agreement (Arbor Rapha Capital Bioholdings Corp. I), Underwriting Agreement (Allegro Merger Corp.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus Registration Statement, the Pricing Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company ActAct of 1940, as amended.

Appears in 4 contracts

Samples: Underwriting Agreement (RAPT Therapeutics, Inc.), Underwriting Agreement (RAPT Therapeutics, Inc.), Underwriting Agreement (Cardlytics, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”), and is not a “pool” as defined in Rule 4.10(d)(1) under the Commodity Exchange Act, as amended (the “Commodities Laws”).

Appears in 4 contracts

Samples: Underwriting Agreement (MF Global Holdings Ltd.), Underwriting Agreement (MF Global Holdings Ltd.), Underwriting Agreement (MF Global Holdings Ltd.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated hereby and the application of the net proceeds therefrom as described in the Time of Sale Preliminary Prospectus and Prospectus the Prospectus, will not be required, to register as an “investment company” under the U.S. Investment Company ActAct of 1940, as amended.

Appears in 4 contracts

Samples: Underwriting Agreement (Mitsubishi Ufj Financial Group Inc), Underwriting Agreement (Mitsubishi Ufj Financial Group Inc), Underwriting Agreement (Mitsubishi Ufj Financial Group Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Underwritten Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “a "registered management investment company" under the Investment Company 1940 Act.

Appears in 4 contracts

Samples: Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp)

Investment Company Act. The Company is not required, and upon the issuance and sale of the offered Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 4 contracts

Samples: Purchase Agreement (Mylan Laboratories Inc), Purchase Agreement (Mylan Laboratories Inc), Purchase Agreement (Mylan Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as as, an "investment company" under the Investment Company Act of 1940, as amended (the "1940 Act").

Appears in 4 contracts

Samples: Purchase Agreement (Allos Therapeutics Inc), Purchase Agreement (Southtrust Corp), Purchase Agreement (Independence Community Bank Corp)

Investment Company Act. The Company is not required, and upon after giving effect to the issuance offering and sale of the Securities Shares as contemplated herein contemplated or in any Terms Agreement and the application of the net proceeds Net Proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus Prospectus, as amended or supplemented, if applicable, will not be required, to register as an “investment company” under the Investment Company ActAct of 1940, as amended.

Appears in 3 contracts

Samples: Sales Agreement (Crown Castle International Corp), Sales Agreement (Crown Castle International Corp), Sales Agreement (Crown Castle International Corp)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Investor Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus Registration Statement and the Prospectus will not be required, to register as an “investment company” under the Investment Company ActAct of 1940, as amended.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Banc of California, Inc.), Securities Purchase Agreement (Banc of California, Inc.), Securities Purchase Agreement (Banc of California, Inc.)

Investment Company Act. The Company is not required, and upon the allotment and issuance and sale of the Securities Underlying Shares and the deposit with the Custodian or its nominee of the Underlying Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus Registration Statement and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “Investment Company Act”).

Appears in 3 contracts

Samples: Open Market Sale Agreement (Mereo BioPharma Group PLC), Open Market Sale Agreement (NuCana PLC), Open Market Sale Agreement (Mereo Biopharma Group PLC)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus Registration Statement and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “Investment Company Act”).

Appears in 3 contracts

Samples: Open Market Sale Agreement (Senseonics, Inc), Open Market Sale Agreement (Senseonics Holdings, Inc.), Open Market Sale Agreement (Tarsus Pharmaceuticals, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Placement Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus Registration Statement and the Prospectus will not be required, to register as an “investment company” under the Investment Company ActAct of 1940, as amended.

Appears in 3 contracts

Samples: Sales Agreement (Oculis Holding AG), Sales Agreement (RAPT Therapeutics, Inc.), Atm Sales Agreement (Tyra Biosciences, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as contemplated herein contemplated and in the Purchase Agreement and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under the Investment Company Act.

Appears in 3 contracts

Samples: Underwriting Agreement (C5 Acquisition Corp), Underwriting Agreement (C5 Acquisition Corp), Underwriting Agreement (C5 Acquisition Corp)

Investment Company Act. The Company is not requiredrequired and, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus Prospectus, will not be required, required to register as an a management investment company” under the Investment Company 1940 Act.

Appears in 3 contracts

Samples: Equity Distribution Agreement (Goldman Sachs BDC, Inc.), Equity Distribution Agreement (Goldman Sachs BDC, Inc.), Equity Distribution Agreement (Goldman Sachs BDC, Inc.)

Investment Company Act. The Company is not required, and immediately upon the issuance and sale of the Securities Placement Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus Registration Statement and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “Investment Company Act”).

Appears in 2 contracts

Samples: Sales Agreement (Poseida Therapeutics, Inc.), Sales Agreement (Poseida Therapeutics, Inc.)

Investment Company Act. The Company is not requiredrequired and, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus Prospectus, will not be required, required to register as an “investment company” under as such term is used in the Investment Company 1940 Act.

Appears in 2 contracts

Samples: Underwriting Agreement (PennantPark Floating Rate Capital Ltd.), Underwriting Agreement (PennantPark Floating Rate Capital Ltd.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Notes as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the U.S. Investment Company ActAct of 1940, as amended.

Appears in 2 contracts

Samples: Underwriting Agreement (Takeda Pharmaceutical Co LTD), Underwriting Agreement (Takeda Pharmaceutical Co LTD)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as contemplated herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus Registration Statement and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

Samples: Atm Sales Agreement (Ascendis Pharma a/S), Atm Equity Offering Sales Agreement (Ascendis Pharma a/S)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under within the meaning of the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

Samples: Sales Agreement (DryShips Inc.), Sales Agreement (DryShips Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus Registration Statement and Prospectus the Prospectus, will not be required, to register as an “investment company” under the Investment Company ActAct of 1940, as amended.

Appears in 2 contracts

Samples: Equity Distribution Agreement (Core Laboratories N V), Equity Distribution Agreement (Core Laboratories N V)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as herein contemplated and the immediate application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under within the meaning of the Investment Company ActAct of 1940, as amended.

Appears in 2 contracts

Samples: Equity Distribution Agreement (Pulse Biosciences, Inc.), At the Market Equity Offering Sales Agreement (Pulse Biosciences, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Statutory Prospectus and the Prospectus will not be required, to register as an "investment company" under the Investment Company Act of 1940, as amended (the "1940 Act").

Appears in 2 contracts

Samples: Purchase Agreement (National Energy Resources Acquisition CO), Purchase Agreement (National Energy Resources Acquisition CO)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Public Securities and Private Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under the Investment Company Act.

Appears in 2 contracts

Samples: Underwriting Agreement (Longevity Acquisition Corp), Underwriting Agreement (Longevity Acquisition Corp)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus Registration Statement and the Prospectus will not be required, to register as an “investment company” under the Investment Company ActAct of 1940, as amended.

Appears in 2 contracts

Samples: Equity Distribution Agreement (Lucid Group, Inc.), Open Market Sale Agreement (Galera Therapeutics, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “Investment Company Act”).

Appears in 2 contracts

Samples: Underwriting Agreement (Endurance Acquisition Corp.), Underwriting Agreement (Endurance Acquisition Corp.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under the Investment Company 1940 Act.

Appears in 2 contracts

Samples: Purchase Agreement (Cohen & Steers Inc), Purchase Agreement (Cohen & Steers Inc)

Investment Company Act. The Company is not requiredrequired to, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be requiredrequired to, to register as an "investment company" under the Investment Company Act of 1940, as amended (the "1940 Act").

Appears in 2 contracts

Samples: Purchase Agreement (Lodgian Inc), Purchase Agreement (Lodgian Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus General Disclosure Package and the Prospectus will not be required, to register as as, an “investment company” under the Investment Company ActAct of 1940, as amended.

Appears in 2 contracts

Samples: Underwriting Agreement (Northern Trust Corp), Underwriting Agreement (Northern Trust Corp)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus Registration Statement and the Prospectus will not be required, to register as an “investment company” under within the meaning of the Investment Company Act of 1940, as amended (the “1940 Act.”). ACTIVE/112182650.6 ACTIVEUS 190056073v.6

Appears in 1 contract

Samples: Open Market Sale Agreement (Cue Biopharma, Inc.)

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Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary any Statutory Prospectus and Prospectus will not be required, to register as an “investment company” under the Investment Company ActAct of 1940, as amended.

Appears in 1 contract

Samples: Underwriting Agreement (Abacus Life, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Placement Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus Registration Statement and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Sales Agreement (RAPT Therapeutics, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Notes as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under the Investment Company ActAct of 1940, as amended.

Appears in 1 contract

Samples: Underwriting Agreement (Government Properties Income Trust)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus General Disclosure Package and the Prospectus will not be required, to register as an "investment company" under the Investment Company ActAct of 1940, as amended.

Appears in 1 contract

Samples: Underwriting Agreement (Wintrust Financial Corp)

Investment Company Act. The Company is not required, and upon after giving effect to the issuance offering and sale of the Securities as herein contemplated Shares and the application of the net proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in the Sale Preliminary Prospectus and Prospectus will not be, required to be required, to register registered as an “investment company” under the Investment Company Act of 1940, as amended, and the rules and regulations promulgated thereunder (collectively, the “Investment Company Act”).

Appears in 1 contract

Samples: At the Market Sales Agreement (Claros Mortgage Trust, Inc.)

Investment Company Act. The Company is not required, and upon the allotment and issuance and sale of the Securities Ordinary Shares and the deposit with the Depositary or its nominee of the Ordinary Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus Registration Statement and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “Investment Company Act”).

Appears in 1 contract

Samples: Sales Agreement (Mereo Biopharma Group PLC)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, required to register as an “investment company” under the Investment Company Act.an

Appears in 1 contract

Samples: Purchase Agreement (Sierra Pacific Resources /Nv/)

Investment Company Act. The Company is not required, and (i) upon the issuance offer and sale of the Securities Shares as contemplated herein contemplated and (ii) the offer, sale and delivery of Shares upon settlement of the Forward Sale Agreement and any Additional Forward Sale Agreement and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company ActAct of 1940, as amended.

Appears in 1 contract

Samples: Underwriting Agreement (Cedar Realty Trust, Inc.)

Investment Company Act. The Company is not required, and upon after giving effect to the issuance offering and sale of the Securities Shares as contemplated herein contemplated or in any Terms Agreement and the application of the net proceeds Net Proceeds (as defined below) therefrom as described in the Sale Preliminary Prospectus and Prospectus Prospectus, as amended or supplemented, if applicable, will not be required, to register as an “investment company” under the Investment Company ActAct of 1940, as amended.

Appears in 1 contract

Samples: Sales Agreement (Crown Castle Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Public Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under the Investment Company Act.. , 2021

Appears in 1 contract

Samples: Underwriting Agreement (Adit EdTech Acquisition Corp.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Primary Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company ActAct of 1940, as amended.

Appears in 1 contract

Samples: Underwriting Agreement (DZS Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under as such term is defined in the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Underwriting Agreement (Gushan Environmental Energy LTD)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as contemplated herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus Registration Statement and the Prospectus will not be required, to register as an “investment company” under the Investment Company ActAct of 1940, as amended.

Appears in 1 contract

Samples: Atm Sales Agreement (NextDecade Corp.)

Investment Company Act. The Company is not required, and upon the issuance and sale by the Company of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Purchase Agreement (Paetec Corp)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as contemplated herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus Registration Statement and the Prospectus will not be required, to register as an “investment company” under the Investment Company ActAct of 1940, as amended.

Appears in 1 contract

Samples: Open Market Sale Agreement (Virgin Galactic Holdings, Inc)

Investment Company Act. The Company Comply is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under the Investment Company Act.

Appears in 1 contract

Samples: Underwriting Agreement (Industrial Human Capital, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an "investment company" under the Investment Company 1940 Act.

Appears in 1 contract

Samples: Purchase Agreement (Cohen & Steers Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in any preliminary prospectus and the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Purchase Agreement (Golfsmith International Holdings Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Final Prospectus will not be required, to register seek an order permitting registration as an “investment company” under the United States Investment Company ActAct of 1940, as amended.

Appears in 1 contract

Samples: Underwriting Agreement (North American Palladium LTD)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and as contemplated in the Concurrent Stock Offering and the application of the net proceeds herefrom and therefrom as described in the Sale Preliminary Statutory Prospectus and Prospectus or the Prospectus, will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Purchase Agreement (Biomarin Pharmaceutical Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Placement Shares as herein contemplated and the application of the net proceeds Net Proceeds therefrom as described in the Sale Preliminary Prospectus Registration Statement and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “Investment Company Act”).

Appears in 1 contract

Samples: Sales Agreement (Senseonics Holdings, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated Shares upon exercise of the Rights and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus Registration Statement, the Offering Materials and the Prospectus will not be required, to register as an “investment company” or an entity “controlled” by an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Dealer Manager Agreement (Liberty Media Corp)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as under, or seek an “investment company” under exemption from, the Investment Company ActAct of 1940, as amended.

Appears in 1 contract

Samples: Underwriting Agreement (Nomura Holdings Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Offered Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Underwriting Agreement (Ventrus Biosciences Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Final Prospectus will not be required, to register seek an order permitting registration as an "investment company" under the United States Investment Company ActAct of 1940, as amended.

Appears in 1 contract

Samples: Underwriting Agreement (North American Palladium LTD)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus Registration Statement and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Open Market Sale Agreement (CureVac N.V.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under nor will it be an entity “controlled” by an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Purchase Agreement (Boston Private Financial Holdings Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Notes as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company ActAct of 1940, as amended.

Appears in 1 contract

Samples: Underwriting Agreement (Select Income Reit)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus Pricing Disclosure Package and the Prospectus will not be required, to register as as, an “investment company” under the Investment Company ActAct of 1940, as amended.

Appears in 1 contract

Samples: Underwriting Agreement (Smith International Inc)

Investment Company Act. The Company is not required, and and, upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Registration Statement, the Disclosure Package and the Prospectus and Prospectus after giving effect to the transactions hereby, will not be required, to register as an “investment company” under the Investment Company ActAct of 1940, as amended.

Appears in 1 contract

Samples: Equity Distribution Agreement (LendingTree, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds Net Proceeds (as defined in Section 2(d)) therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under within the meaning of the Investment Company ActAct of 1940, as amended.

Appears in 1 contract

Samples: Atm Equity Offering Sales Agreement (Weingarten Realty Investors /Tx/)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under the Investment Company Act.. {00976800.DOCX.19} 18

Appears in 1 contract

Samples: Underwriting Agreement (Insight Acquisition Corp. /DE)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom herefrom as described in the Sale Preliminary Statutory Prospectus and Prospectus or the Prospectus, will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Purchase Agreement (Biomarin Pharmaceutical Inc)

Investment Company Act. The Company is not required, and upon the issuance offering and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Underwriting Agreement (Allegiant Travel CO)

Investment Company Act. The Company is not required, and upon the issuance and sale of the offered Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an "investment company" under the Investment Company Act.Act of 1940, as amended (the "1940 ACT")

Appears in 1 contract

Samples: Purchase Agreement (Osi Pharmaceuticals Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under within the meaning of the Investment Company ActAct of 1940, as amended.

Appears in 1 contract

Samples: Underwriting Agreement (Discovery Laboratories Inc /De/)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Depositary Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company ActAct of 1940, as amended.

Appears in 1 contract

Samples: Underwriting Agreement (Wintrust Financial Corp)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Public Securities as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus and Prospectus will not be required, to register as an “investment company” under the Investment Company Act.. Roth Xxxital Partners, LLC _________, 2021

Appears in 1 contract

Samples: Underwriting Agreement (Chavant Capital Acquisition Corp.)

Investment Company Act. The Company is not requiredrequired and, and upon the issuance and sale of the Securities Placement Shares as herein contemplated and the application of the net proceeds therefrom as described in the Sale Preliminary Prospectus Registration Statement and Prospectus the Prospectus, will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Sales Agreement (Akouos, Inc.)

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