Investment Company Act. Neither the Company nor any of the Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 334 contracts
Samples: Sales Agreement (Complete Solaria, Inc.), Sales Agreement (Satellogic Inc.), Sales Agreement (Quince Therapeutics, Inc.)
Investment Company Act. Neither the Company nor any of the Subsidiaries Subsidiary is or, after giving effect to the offering and sale of the Placement Shares, will be required to register as an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 142 contracts
Samples: At the Market Sales Agreement (reAlpha Tech Corp.), At Market Issuance Sales Agreement (Soligenix, Inc.), At Market Issuance Sales Agreement (iBio, Inc.)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 111 contracts
Samples: Subordinated Note Purchase Agreement (BCB Bancorp Inc), Credit Agreement (Host Hotels & Resorts L.P.), Credit Agreement (Host Hotels & Resorts L.P.)
Investment Company Act. Neither the Company nor any of the Subsidiaries Subsidiary is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 71 contracts
Samples: Sales Agreement (CorMedix Inc.), At Market Issuance Sales Agreement (CorMedix Inc.), At Market Issuance Sales Agreement (Moleculin Biotech, Inc.)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” ", or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in ", within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 62 contracts
Samples: Credit Agreement (Forest Oil Corp), Credit Agreement (Be Aerospace Inc), Supplemental Credit Agreement (Suiza Foods Corp)
Investment Company Act. Neither the Company Holdings nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 38 contracts
Samples: Credit Agreement (International Money Express, Inc.), Credit Agreement (Fintech Acquisition Corp. II), Credit Agreement (Nutraceutical International Corp)
Investment Company Act. Neither the Company Holdings nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 38 contracts
Samples: Credit Agreement (Nutraceutical International Corp), Credit Agreement (Dole Food Company Inc), Credit Agreement (Universal Compression Holdings Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to an investment company within the offering and sale meaning of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (amended, or, directly or indirectly, controlled by or acting on behalf of any Person which is an investment company, within the “Investment Company meaning of said Act”).
Appears in 36 contracts
Samples: Securities Purchase Agreement, Securities Purchase Agreement (Fly Leasing LTD), Securities Purchase Agreement (Fly Leasing LTD)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 32 contracts
Samples: Subordinated Note Purchase Agreement (QCR Holdings Inc), Subordinated Note Purchase Agreement (Amerant Bancorp Inc.), Subordinated Note Purchase Agreement (Eagle Bancorp Montana, Inc.)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” ”, or an entity a company “controlled” by an “investment company,” as such terms are defined in ”, within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 24 contracts
Samples: Revolving Credit Facility Agreement (Southwest Airlines Co), Credit Agreement (Motorola Solutions, Inc.), Revolving Credit Facility Agreement (Southwest Airlines Co)
Investment Company Act. Neither the Company nor or any of the Subsidiaries Subsidiary is or, after giving effect to the offering and sale of the Placement Shares, will it be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 20 contracts
Samples: Capital on Demand Sales Agreement (Galmed Pharmaceuticals Ltd.), Capital on Demand Sales Agreement (Galmed Pharmaceuticals Ltd.), Equity Distribution Agreement (Inspirato Inc)
Investment Company Act. Neither the Company nor any of the Subsidiaries Subsidiaries, is now or, after giving effect to the offering and sale of the Placement Shares, will be required to register as an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 20 contracts
Samples: Equity Distribution Agreement (Oncolytics Biotech Inc), Equity Distribution Agreement (Quipt Home Medical Corp.), Equity Distribution Agreement (Palatin Technologies Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 17 contracts
Samples: Credit Agreement (Diedrich Coffee Inc), Credit Agreement (Global Industries LTD), Credit Agreement (Global Industries LTD)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering Purchase and sale the application of the Placement Sharesproceeds thereof, will be become an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (amended, and the “Investment Company Act”)rules and regulations of the SEC thereunder.
Appears in 15 contracts
Samples: Security Purchase Agreement (Sequans Communications), Security Purchase Agreement (Sequans Communications), Security Purchase Agreement (Sequans Communications)
Investment Company Act. Neither the Company Holdings nor any of the its ---------------------- Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 13 contracts
Samples: Credit Agreement (Host Marriott Corp/Md), Credit Agreement (RPP Capital Corp), Credit Agreement (Cambridge Industries Inc /De)
Investment Company Act. Neither the Company nor any of the Subsidiaries Subsidiary is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 10 contracts
Samples: At Market Issuance Sales Agreement (Brickell Biotech, Inc.), At Market Issuance Sales Agreement (Brickell Biotech, Inc.), At Market Issuance Sales Agreement (Pluristem Therapeutics Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 10 contracts
Samples: Term Loan and Credit Agreement (RCN Corp /De/), Senior Secured Revolving Credit Agreement (Di Industries Inc), Global Credit Agreement (Ocean Energy Inc)
Investment Company Act. Neither the Company nor any of the Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be required to register as an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 10 contracts
Samples: Sales Agreement (Perspective Therapeutics, Inc.), Sales Agreement (Anixa Biosciences Inc), Sales Agreement (Aytu Biopharma, Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in ”, within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 9 contracts
Samples: Credit Agreement (Greif, Inc), Credit Agreement (Greif, Inc), Credit Agreement (Greif Inc)
Investment Company Act. Neither the Company nor any of the Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” or an entity “controlled” by an “investment company,” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended (the “"INVESTMENT COMPANY ACT"), nor is the Company nor any of the Subsidiaries directly or indirectly controlled by or acting on behalf of any Person which is an "investment company" within the meaning of the Investment Company Act”).
Appears in 9 contracts
Samples: Securities Purchase Agreement (Wareforce Com Inc), Securities Purchase Agreement (Precept Business Services Inc), Securities Purchase Agreement (Auxer Group Inc)
Investment Company Act. Neither the Company Corporation nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” ", or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in ", within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 8 contracts
Samples: Subscription Agreement (Ramsay Health Care Inc), Subscription Agreement (Ramsay Health Care Inc), Subscription Agreement (Ramsay Health Care Inc)
Investment Company Act. Neither the Company nor any of the Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 8 contracts
Samples: Open Market Sale Agreement (Protagonist Therapeutics, Inc), Sales Agreement (Global Medical REIT Inc.), Sales Agreement (Global Medical REIT Inc.)
Investment Company Act. Neither the Company nor any of the Subsidiaries is, or is orregulated as, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “"investment company,” " as such terms are term is defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 8 contracts
Samples: Credit Agreement (Kinder Morgan Energy Partners L P), Credit Agreement (Kinder Morgan Energy Partners L P), Credit Agreement (Kinder Morgan Energy Partners L P)
Investment Company Act. Neither the Company nor any of the Subsidiaries is oris, and after giving effect to the offering and sale of the Placement SharesSecurities and the use of the proceeds as described under the caption “Use of Proceeds” in the General Disclosure Package and the Prospectus, will be an “investment company” or an entity “controlled” by an “investment company,” ”, as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 7 contracts
Samples: Underwriting Agreement (DiamondRock Hospitality Co), Purchase Agreement (DiamondRock Hospitality Co), Purchase Agreement (DiamondRock Hospitality Co)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” ", "promoter", "principal under" or "controlled by" an entity “controlled” by an “"investment company,” as such terms are defined in ", within the meaning of the Investment Company Act of 1940, as amended (amended. The making of the “Investment Advances by Lenders, the application of the proceeds and repayment thereof by Company Act”)and the consummation of the transactions contemplated by the Loan Papers will not violate any such Act or any rule, regulation or order thereunder issued by the Securities and Exchange Commission.
Appears in 7 contracts
Samples: Credit Agreement (Franchise Finance Corp of America), Credit Agreement (Franchise Finance Corp of America), Credit Agreement (Franchise Finance Corp of America)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is oris, and, after giving effect to the offering and sale consummation of the Placement Sharestransactions contemplated hereby and by the other Company Agreements, will be be, an “investment company” or an entity “controlledcontrolled by” by an “investment company,” (as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”amended).
Appears in 7 contracts
Samples: Securities Purchase Agreement (You on Demand Holdings, Inc.), Securities Purchase Agreement (Beijing Sun Seven Stars Culture Development LTD), Securities Purchase Agreement (You on Demand Holdings, Inc.)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity company “controlled” by an “investment company,” company as such terms are defined in in, or subject to regulation under, the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 7 contracts
Samples: Revolving Credit Agreement (Group 1 Automotive Inc), Revolving Credit Agreement (Group 1 Automotive Inc), Revolving Credit Agreement (Group 1 Automotive Inc)
Investment Company Act. Neither the Company nor any of the its ---------------------- Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” ", or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in ", within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 7 contracts
Samples: Credit Agreement (Advanstar Inc), Credit Agreement (Capital Re Corp), Credit Agreement (First American Financial Corp)
Investment Company Act. Neither the Company nor any of the Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”), and the Company and its Subsidiaries and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 7 contracts
Samples: At the Market Issuance Sales Agreement (Ault Alliance, Inc.), At the Market Issuance Sales Agreement (SciSparc Ltd.), At the Market Issuance Sales Agreement (Singing Machine Co Inc)
Investment Company Act. Neither the Company nor any of the Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” or an entity “controlled” by an “investment company,” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended (the “"Investment Company Act”"), nor is the Company nor any of the Subsidiaries directly or indirectly controlled by or acting on behalf of any Person which is an "investment company" within the meaning of the Investment Company Act.
Appears in 7 contracts
Samples: Securities Purchase Agreement (Commodore Applied Technologies Inc), Securities Purchase Agreement (Innovative Gaming Corp of America), Securities Purchase Agreement (Emagin Corp)
Investment Company Act. Neither the Company nor any of the Subsidiaries is or, after giving effect to the offering and sale of the Placement SharesShares and the application of the proceeds thereof as described in the Registration Statement and the Prospectus, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 7 contracts
Samples: Sales Agreement (Galmed Pharmaceuticals Ltd.), Sales Agreement (Galmed Pharmaceuticals Ltd.), At the Market Equity Offering Sales Agreement (Galmed Pharmaceuticals Ltd.)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is oris, and, after giving effect to the offering and sale of the Placement SharesShares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, none of them will be be, an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 6 contracts
Samples: Underwriting Agreement (MPT Operating Partnership, L.P.), Underwriting Agreement (MPT Operating Partnership, L.P.), Underwriting Agreement (MPT Operating Partnership, L.P.)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in ", within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 6 contracts
Samples: Credit Agreement (Flag Telecom Holdings LTD), Credit Agreement (Glatfelter P H Co), Credit Agreement (Flag Telecom Holdings LTD)
Investment Company Act. Neither the Company nor any of the Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “"controlled” " by an “"investment company,” " as such terms are defined in the Investment Company Act of 1940, as amended (the “"Investment Company Act”").
Appears in 6 contracts
Samples: Atm Sales Agreement (Snow Lake Resources Ltd.), At the Market Issuance Sales Agreement (Microvision, Inc.), Sales Agreement (Portage Biotech Inc.)
Investment Company Act. Neither the Company nor any of the Subsidiaries is or, after giving effect to the offering and sale of the Placement Offered Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 6 contracts
Samples: Underwriting Agreement (Theratechnologies Inc.), Underwriting Agreement (Protagonist Therapeutics, Inc), Underwriting Agreement (CareDx, Inc.)
Investment Company Act. Neither the Company nor any of the Subsidiaries is orand, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 6 contracts
Samples: Underwriting Agreement (Ashford Hospitality Trust Inc), Underwriting Agreement (Ashford Hospitality Trust Inc), Underwriting Agreement (Ashford Hospitality Trust Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” ", or a company "controlled by" an entity “controlled” by an “"investment company,” as such terms are defined in ", within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 6 contracts
Samples: Special Warrant Agreement (Nuco2 Inc /Fl), Preferred Stock Purchase Agreement (Nuco2 Inc /Fl), Special Warrant Agreement (Nuco2 Inc /Fl)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” ”, or an entity a company “controlled” by an a registered “investment company,” as such terms are defined in ”, within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 6 contracts
Samples: Credit Agreement (Lazard Group LLC), Credit Agreement (Lazard LTD), Credit Agreement (Lazard Group LLC)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to an "investment company" or a Person directly or indirectly "controlled" by or acting on behalf of an "investment company" within the offering and sale meaning of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the United States Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 6 contracts
Samples: Convertible Subordinated Note Purchase Agreement (Regent Assisted Living Inc), Convertible Subordinated Note Purchase Agreement (LTC Healthcare Inc), Convertible Subordinated Note Purchase Agreement (Regent Assisted Living Inc)
Investment Company Act. Neither the Company nor any of the Subsidiaries is oris, and after giving effect to the offering and sale of the Placement SharesShares and the use of the proceeds as described under the caption “Use of Proceeds” in the Prospectus, will be an “investment company” or an entity “controlled” by an “investment company,” ”, as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 6 contracts
Samples: Distribution Agreement (DiamondRock Hospitality Co), Distribution Agreement (DiamondRock Hospitality Co), Sales Agreement (DiamondRock Hospitality Co)
Investment Company Act. Neither the Company nor any of the Material Subsidiaries is or, after giving effect to the offering and sale of the Placement SharesShares and the application of the proceeds thereof as described in the Registration Statement and the Prospectus, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 5 contracts
Samples: Sales Agreement (Avino Silver & Gold Mines LTD), Sales Agreement (Energy Fuels Inc), Sales Agreement (Avino Silver & Gold Mines LTD)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 5 contracts
Samples: Sales Agreement (Sanara MedTech Inc.), At Market Issuance Sales Agreement (Omeros Corp), At Market Issuance Sales Agreement (Galena Biopharma, Inc.)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 5 contracts
Samples: Credit Agreement (Sealed Air Corp/De), Credit Agreement (Arkansas Best Corp /De/), Credit Agreement (Diedrich Coffee Inc)
Investment Company Act. Neither the Company nor any of its Subsidiaries is, and upon consummation of the Subsidiaries is or, after giving effect to the offering and sale of the Placement SharesSecurities will not be, will be an “investment company,” an affiliate of an “investment company,” a company controlled by an “investment company” or an entity “controlledaffiliated person” by of, or “promoter” or “principal underwriter” for, an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Taronis Technologies, Inc.), Securities Purchase Agreement (Taronis Technologies, Inc.), Securities Purchase Agreement (Taronis Technologies, Inc.)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is oris, and, after giving effect to the offering and sale of the Placement SharesShares and the application of the proceeds thereof as described in the Registration Statement, the Prospectus or any Permitted Free Writing Prospectus, none of them will be be, an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 5 contracts
Samples: Equity Distribution Agreement (Medical Properties Trust Inc), Equity Distribution Agreement (Medical Properties Trust Inc), Equity Distribution Agreement (Medical Properties Trust Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “controlled” controlled by an “"investment company,” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 4 contracts
Samples: Warehousing Credit and Security Agreement (Nab Asset Corp), Warehousing Credit and Security Agreement (BNC Mortgage Inc), Warehousing Credit and Security Agreement (E Loan Inc)
Investment Company Act. Neither the Company nor any of the Subsidiaries is, or is orregulated as, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are term is defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 4 contracts
Samples: Term Loan Agreement (Energy Transfer Partners, L.P.), Credit Agreement (Energy Transfer Partners, L.P.), Credit Agreement (Kinder Morgan Energy Partners L P)
Investment Company Act. Neither the Company nor any of the Subsidiaries is or, after giving effect to the offering and sale of the Placement SharesSecurities, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 4 contracts
Samples: Underwriting Agreement (Protagonist Therapeutics, Inc), Underwriting Agreement (Protagonist Therapeutics, Inc), Underwriting Agreement (Novus Therapeutics, Inc.)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “controlled” by "affiliated person" of, or "promoter" or "principal underwriter" for, an “"investment company,” ", as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 4 contracts
Samples: Competitive Advance and Revolving Credit Facility Agreement (Southwest Airlines Co), Credit Facility Agreement (Southwest Airlines Co), Competitive Advance and Revolving Credit Facility Agreement (Southwest Airlines Co)
Investment Company Act. Neither the Company nor any of the its Restricted Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 4 contracts
Samples: Senior Secured Revolving Credit Agreement (Valaris LTD), Senior Secured Revolving Credit Agreement (Noble Corp PLC), Credit Agreement (Host Hotels & Resorts, Inc.)
Investment Company Act. Neither the Company nor any of the Material Subsidiaries is or, after giving effect to the offering and sale of the Placement SharesUnits and the application of the proceeds thereof as described in the Registration Statement or included or incorporated by reference in the Time of Sale Prospectus and the Prospectuses, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 4 contracts
Samples: Underwriting Agreement (Vista Gold Corp), Underwriting Agreement (Energy Fuels Inc), Underwriting Agreement (Vista Gold Corp)
Investment Company Act. Neither the Company Company, the Operating Partnership, nor any of the Subsidiaries Subsidiary is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 4 contracts
Samples: At Market Issuance Sales Agreement (Physicians Realty Trust), At Market Issuance Sales Agreement (Physicians Realty Trust), At Market Issuance Sales Agreement (Physicians Realty Trust)
Investment Company Act. Neither the Company nor any of the its Restricted Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 4 contracts
Samples: Credit Agreement (Western Empire Publications Inc), Credit Agreement (Vegeterian Times Inc), Credit Agreement (Western Empire Publications Inc)
Investment Company Act. Neither the Company Company, any of its Subsidiaries nor any Person controlling the Company or any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “"investment company,” as such terms are defined in " or a company "controlled" by an "investment company," within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 4 contracts
Samples: Subordinated Note Restructuring Agreement (Boots & Coots International Well Control Inc), Subordinated Note and Warrant Purchase Agreement (Equity Compression Services Corp), Subordinated Note and Warrant Purchase Agreement (Boots & Coots International Well Control Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be are an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 4 contracts
Samples: Stock Purchase Agreement (HUGHES Telematics, Inc.), Stock Purchase Agreement (HUGHES Telematics, Inc.), Stock Purchase Agreement (HUGHES Telematics, Inc.)
Investment Company Act. Neither the Company nor any of the Subsidiaries is orSubsidiaries, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “"controlled” " by an “"investment company,” ", as such terms are defined in the Investment Company Act of 1940, as amended (the “"Investment Company Act”").
Appears in 3 contracts
Samples: Sales Agreement (Paragon Shipping Inc.), Sales Agreement (Top Tankers Inc.), Sales Agreement (DryShips Inc.)
Investment Company Act. Neither the Company nor any of the its Consolidated Subsidiaries is or, after giving effect to an investment company within the offering and sale meaning of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (amended, or directly or indirectly, controlled by or acting on behalf of any Person which is an investment company within the meaning of said Act, and shall not become such an “Investment Company Actinvestment company” or under such “control.”).
Appears in 3 contracts
Samples: Credit Agreement (RPM International Inc/De/), Credit Agreement (RPM International Inc/De/), Revolving Credit Facility Agreement (RPM International Inc/De/)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be (i) an “investment company” or an entity “a company controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended amended, (the ii) a “Investment Company Act”)holding company” or a “subsidiary company” of a “holding company” or an “affiliate” of either a “holding company” or (ii) subject to any other federal or state law or regulation which purports to restrict or regulate its ability to borrow money.
Appears in 3 contracts
Samples: Five Year Credit Agreement (Eastman Chemical Co), Credit Agreement (Eastman Chemical Co), Term Loan Agreement (Eastman Chemical Co)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “"investment company,” as such terms are defined in " or a company "controlled" by an "investment company," within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Levine Leichtman Capital Partners Ii Lp), Credit Agreement (American Italian Pasta Co), Credit Agreement (American Italian Pasta Co)
Investment Company Act. Neither the Company nor any of the Subsidiaries its Subsidiary is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 3 contracts
Samples: Sales Agreement (Verastem, Inc.), Sales Agreement (Verastem, Inc.), Sales Agreement (Transcept Pharmaceuticals Inc)
Investment Company Act. Neither the Company Holdings nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” ", or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in ", within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 3 contracts
Samples: Credit Agreement (Sothebys Holdings Inc), Credit Agreement (Sothebys Holdings Inc), Credit Agreement (Sothebys Holdings Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement SharesShares and the application of the proceeds thereof as described in the Prospectus, will be required to register as an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 3 contracts
Samples: Placement Agency Agreement (Immtech Pharmaceuticals, Inc.), Placement Agency Agreement (Sangamo Biosciences Inc), Subscription Agreement (Sangamo Biosciences Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering purchase and sale of the Placement SharesShares contemplated hereby and the application of the proceeds thereof, will be become an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”), and the rules and regulations of the Commission thereunder.
Appears in 3 contracts
Samples: Placement Agent Agreement (Cadiz Inc), Placement Agent Agreement (Cadiz Inc), Placement Agent Agreement (Cadiz Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is, or is ordirectly or indirectly controlled by or acting on behalf of any Person which is, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “"investment company,” " as such terms are term is defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 3 contracts
Samples: Revolving Credit Agreement (Browning Ferris Industries Inc), Competitive Advance and Revolving Credit Facility Agreement (Service Corporation International), Competitive Advance and Revolving Credit Facility Agreement (Service Corporation International)
Investment Company Act. Neither the Holdings, any Company nor any of the their respective Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” or an entity “controlled” by an “investment company,” " as such terms are defined in the Investment Company Act of 1940, as amended (amended. The consummation of the “Investment Company Act”)transactions contemplated by the Operative Documents do not and will not violate any provision of such Act or any rule, regulation or order issued by the Securities and Exchange Commission thereunder.
Appears in 3 contracts
Samples: Credit Agreement (Lets Talk Cellular & Wireless Inc), Credit Agreement (Lets Talk Cellular & Wireless Inc), Credit Agreement (Lets Talk Cellular & Wireless Inc)
Investment Company Act. Neither the Company nor any of the Material Subsidiaries is or, after giving effect to the offering and sale of the Placement SharesOffered Shares and the application of the proceeds thereof as described in the Offering Documents, as applicable, will be required to register as an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 3 contracts
Samples: Underwriting Agreement (Denison Mines Corp.), Underwriting Agreement (Auryn Resources Inc.), Underwriting Agreement (Auryn Resources Inc.)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be (i) an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended amended, (the ii) a “Investment Company Act”)holding company” or a “subsidiary company” of a “holding company” or an “affiliate” of either a “holding company” or (ii) subject to any other federal or state law or regulation which purports to restrict or regulate its ability to borrow money.
Appears in 3 contracts
Samples: Five Year Credit Agreement (Eastman Chemical Co), Five Year Credit Agreement (Eastman Chemical Co), Five Year Credit Agreement (Eastman Chemical Co)
Investment Company Act. Neither As of the date hereof, neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended 1940 (the “"1940 Act"), or is subject to registration under the 1940 Act or the Investment Company Advisers Act of 1940 (the "Advisers Act”").
Appears in 3 contracts
Samples: Merger Agreement (Alpnet Inc), Merger Agreement (Newmedia Spark PLC), Merger Agreement (Alpnet Inc)
Investment Company Act. Neither the Company nor any of the Material Subsidiaries is or, after giving effect to the offering and sale of the Placement SharesShares and the application of the proceeds thereof as described in the Registration Statement and the Prospectuses, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 3 contracts
Samples: Sales Agreement (Avino Silver & Gold Mines LTD), Sales Agreement (Avino Silver & Gold Mines LTD), Sales Agreement (Energy Fuels Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is oris, and, after giving effect to the offering and sale consummation of the Placement Sharestransactions contemplated hereby and by the other Company Agreements, will be be, an “"investment company” " or an entity “controlled” by "controlled by" an “"investment company,” " (as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”amended).
Appears in 3 contracts
Samples: Series E Preferred Stock Purchase Agreement (You on Demand Holdings, Inc.), Preferred Stock Purchase Agreement (Res Care Inc /Ky/), Preferred Stock Purchase Agreement (New Mountain Partners Lp)
Investment Company Act. Neither the Company nor any of the or its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be be, an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 3 contracts
Samples: At Market Issuance Sales Agreement (Forte Biosciences, Inc.), At Market Issuance Sales Agreement (Forte Biosciences, Inc.), At Market Issuance Sales Agreement (Bionano Genomics, Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be (i) an “"investment company” " or a company "controlled by" an entity “controlled” by an “investment company,” as such terms are defined in company within the meaning of the Investment Company Act of 1940, as amended amended, and the rules and regulations of the Commission promulgated thereunder, or (ii) a "holding company" or a "subsidiary company" of a holding company or an "affiliate" thereof within the “Investment meaning of the Public Utility Holding Company Act”)Act of 1935, as amended.
Appears in 3 contracts
Samples: Common Unit Purchase Agreement (Donjoy LLC), Common Unit Purchase Agreement (Dj Orthopedics Capital Corp), Preferred Unit Purchase Agreement (Donjoy LLC)
Investment Company Act. Neither the Company Holdings nor any of the its Restricted Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 3 contracts
Samples: Abl Credit Agreement (Southeastern Grocers, LLC), Credit Agreement and Subsidiaries Guaranty (Leap Wireless International Inc), Credit Agreement (Leap Wireless International Inc)
Investment Company Act. Neither the Company nor any of the Subsidiaries is oris, after giving effect to the offering and sale or upon consummation of the Placement Sharestransactions contemplated hereby will be, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 3 contracts
Samples: Underwriting Agreement (Huntsman International LLC), Underwriting Agreement (Huntsman International LLC), Underwriting Agreement (Huntsman International LLC)
Investment Company Act. Neither the Company nor any of the its ---------------------- Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 3 contracts
Samples: Securities Purchase Agreement (Artesyn Technologies Inc), Securities Purchase Agreement (Finestar International LTD), Securities Purchase Agreement (Artesyn Technologies Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is are or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 3 contracts
Samples: Sales Agreement (Akebia Therapeutics, Inc.), Sales Agreement (Akebia Therapeutics, Inc.), Sales Agreement (Akebia Therapeutics, Inc.)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in ", within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 3 contracts
Samples: Credit Agreement (Huntsman Advanced Materials (UK) LTD), Credit Agreement (Ball Corp), Credit Agreement (Veritas DGC Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “"investment company,” as such terms are defined in " or a company "controlled by an "investment company," within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 2 contracts
Samples: Senior Subordinated Note Purchase Agreement (Smith & Wollensky Restaurant Group Inc), Senior Subordinated Note Purchase Agreement (New York Restaurant Group Inc)
Investment Company Act. Neither the Company nor any of its Subsidiaries is, nor upon the Subsidiaries is or, after giving effect to the offering issuance and sale of the Placement SharesShares as herein contemplated and the application of the net proceeds therefrom as described in the General Disclosure Package and the Final Prospectus will be, will be an “"investment company” " or an entity “"controlled” " by an “"investment company,” " as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 2 contracts
Samples: Underwriting Agreement (Amr Corp), Underwriting Agreement (Amr Corp)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is orand, after giving effect to the offering offer and sale of the Placement SharesSubordinated Notes as contemplated herein, will be be, an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 2 contracts
Samples: Subordinated Note Purchase Agreement (Meridian Corp), Subordinated Note Purchase Agreement (Meridian Corp)
Investment Company Act. Neither the Company nor any of the Material Subsidiaries is or, after giving effect to the offering and sale of the Placement SharesShares and the application of the proceeds thereof as described in the Registration Statement and the Prospectus, will be an “"investment company” " or an entity “"controlled” " by an “"investment company,” " as such terms are defined in the Investment Company Act of 1940, as amended (the “"Investment Company Act”").
Appears in 2 contracts
Samples: Sales Agreement (Energy Fuels Inc), Sales Agreement (Energy Fuels Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” controlled by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 2 contracts
Samples: Warehousing Credit and Security Agreement (Sirva Inc), Warehousing Credit and Security Agreement (Sirva Inc)
Investment Company Act. Neither the Company nor any of its subsidiaries is, and immediately after receipt of payment for the Subsidiaries is or, after giving effect to Securities hereunder and the offering and sale application of the Placement Sharesnet proceeds from such issuance and sale, none of the Company nor any of its subsidiaries will be be, an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Forte Biosciences, Inc.), Stock Purchase Agreement (Cullinan Therapeutics, Inc.)
Investment Company Act. Neither the Company nor any of the Subsidiaries is or, after giving effect to the offering and sale of the Placement SharesShares and the application of the proceeds therefrom as described under “Use of Proceeds” in the Registration Statement and the Prospectus, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 2 contracts
Samples: At the Market Issuance Sales Agreement (Sonida Senior Living, Inc.), At the Market Issuance Sales Agreement (Microvision, Inc.)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering purchase and sale of the Placement SharesShares contemplated hereby and the application of the proceeds thereof, will be become an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”), and the rules and regulations of the Commission thereunder.
Appears in 2 contracts
Samples: At Market Issuance Sales Agreement (Cadiz Inc), At Market Issuance Sales Agreement (Cadiz Inc)
Investment Company Act. Neither the Company nor any of the Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 2 contracts
Samples: Sales Agreement (Transenterix Inc.), Sales Agreement (Transenterix Inc.)
Investment Company Act. Neither the Company nor any of the Subsidiaries is its subsidiaries is, or, after giving effect to the offering and sale consummation of the Placement SharesRestructuring, will be be, an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in within the meaning Investment Company Act of 1940 or otherwise subject to regulation under the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 2 contracts
Samples: Backstop Agreement (CHC Group Ltd.), Plan Support Agreement (CHC Group Ltd.)
Investment Company Act. Neither the Company nor any of the its Restricted Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 2 contracts
Samples: Syndicated Facility Agreement (Sealed Air Corp/De), Syndicated Facility Agreement (Sealed Air Corp/De)
Investment Company Act. Neither the Company nor any of the Subsidiaries is oris, nor after giving effect to the offering and sale of the Placement SharesOffered Securities and the application of the proceeds thereof as described in the General Disclosure Package will be, will be an “investment company” or an entity “controlled” by an “investment company,” as within the meaning of such terms are defined in term under the Investment Company Act of 19401940 and the rules and regulations of the Commission thereunder (collectively, as amended (the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (XOMA Corp), Underwriting Agreement (XOMA Corp)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale an "investment company" or a company "controlled" by an "investment company" (as each of the Placement Shares, will be an “investment company” quoted terms is defined or an entity “controlled” by an “investment company,” as such terms are defined used in the Investment Company Act of 1940, as amended (the “Investment Company Act”amended).
Appears in 2 contracts
Samples: Note Purchase Agreement (Horizon Telecom Inc), Note Purchase Agreement (Horizon Telcom Inc)
Investment Company Act. Neither the Company it nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” ”, or an entity a company “controlled” by an “investment company,” as such terms are defined in ”, within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 2 contracts
Samples: Stock Purchase Agreement (Gsi Commerce Inc), Stock Purchase Agreement (Gsi Commerce Inc)
Investment Company Act. Neither the Company nor any of the its ------------------------ Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 2 contracts
Samples: Revolving Credit Agreement (Compaq Computer Corp), Revolving Credit Agreement (Compaq Computer Corp)
Investment Company Act. Neither the Company nor any each of the its Subsidiaries is orand, after giving effect to the offering and sale consummation of the Placement Sharestransactions contemplated hereby and by the Other Agreements, none of them will be be, an “"investment company” or an entity “controlled” by an “investment company,” " (as such terms are term is defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”amended).
Appears in 2 contracts
Samples: Purchase Agreement (Apollo Investment Fund Iv Lp), Purchase Agreement (Sylvan Learning Systems Inc)
Investment Company Act. Neither the Company nor any of the its ---------------------- Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “controlled” controlled by an “"investment company,” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 2 contracts
Samples: Loan and Security Agreement (Nab Asset Corp), Warehousing Credit and Security Agreement (Iown Holdings Inc)
Investment Company Act. Neither the Company nor any of the Subsidiaries is orits Subsidiaries, after giving effect to the offering and sale of the Placement Shares, will be (i) required to register as an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”), or (ii) a “business development company” (as defined in Section 2(a)(48) of the Investment Company Act.
Appears in 2 contracts
Samples: Sales Agreement (Compugen LTD), Sales Agreement (Avanir Pharmaceuticals, Inc.)
Investment Company Act. Neither the Company nor any of the its Restricted Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in company within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 2 contracts
Samples: Credit Agreement (Life Time Fitness, Inc.), Credit Agreement (Life Time Fitness, Inc.)
Investment Company Act. Neither the Company nor any of the Subsidiaries is orSubsidiaries, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” ”, as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 2 contracts
Samples: Sales Agreement (Oceanfreight Inc.), Sales Agreement (Paragon Shipping Inc.)
Investment Company Act. Neither the Company nor any of the its ---------------------- Subsidiaries is or, after giving effect to the offering and sale an "investment company" or a company "controlled" by an "investment company" (as each of the Placement Shares, will be an “investment company” quoted terms is defined or an entity “controlled” by an “investment company,” as such terms are defined used in the Investment Company Act of 1940, as amended (the “Investment Company Act”amended).
Appears in 2 contracts
Samples: Credit Agreement (Jostens Inc), Credit Agreement (Pameco Corp)
Investment Company Act. Neither the Company nor any of the Subsidiaries is orSubsidiaries, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 2 contracts
Samples: Sales Agreement (Sangamo Biosciences Inc), Sales Agreement (Introgen Therapeutics Inc)
Investment Company Act. Neither the Company nor any of the Subsidiaries is orits subsidiaries is, and after giving effect to the offering and sale of the Placement SharesShares will be, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Polypore International, Inc.), Underwriting Agreement (Polypore International, Inc.)
