Common use of Investment Company Act Clause in Contracts

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Securities, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 210 contracts

Samples: Underwriting Agreement (NEUROONE MEDICAL TECHNOLOGIES Corp), Underwriting Agreement (Orthopediatrics Corp), Underwriting Agreement (Connexa Sports Technologies Inc.)

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Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the proceeds thereof as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended1940 (the “Investment Company Act”).

Appears in 135 contracts

Samples: Underwriting Agreement, Underwriting Agreement (PPG Industries Inc), Underwriting Agreement (PPG Industries Inc)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the net proceeds thereof, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 125 contracts

Samples: Underwriting Agreement (Trio Petroleum Corp.), Underwriting Agreement (Fitness Champs Holdings LTD), Underwriting Agreement (COR3&Co. (Holdings) LTD)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the proceeds thereof as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).

Appears in 63 contracts

Samples: Underwriting Agreement (Green Brick Partners, Inc.), Underwriting Agreement (NVR Inc), Underwriting Agreement (NVR Inc)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesShares and the application of the net proceeds thereof, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 61 contracts

Samples: Underwriting Agreement (Luxurban Hotels Inc.), Underwriting Agreement (Fathom Holdings Inc.), Underwriting Agreement (ASP Isotopes Inc.)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the proceeds thereof as described in the General Disclosure Package and the Final Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).

Appears in 51 contracts

Samples: Underwriting Agreement (Intellia Therapeutics, Inc.), Underwriting Agreement (PlayAGS, Inc.), Underwriting Agreement (Intellia Therapeutics, Inc.)

Investment Company Act. The Company is not and, after giving effect to an investment company (within the offering and sale meaning of the Securities, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended).

Appears in 34 contracts

Samples: Revolving Credit Agreement (Consumers Energy Co), Term Loan Credit Agreement (Consumers Energy Co), Term Loan Credit Agreement (CMS Energy Corp)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the proceeds thereof as described in the General Disclosure Package and the Final Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended1940 (the “Investment Company Act”).

Appears in 32 contracts

Samples: Underwriting Agreement (Pinduoduo Inc.), Underwriting Agreement (Solaris Oilfield Infrastructure, Inc.), Underwriting Agreement (Solaris Oilfield Infrastructure, Inc.)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Securities, will not be an “investment company,” ”, as such term is terms are defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).

Appears in 21 contracts

Samples: Equity Distribution Agreement (Genprex, Inc.), Equity Distribution Agreement (Aileron Therapeutics, Inc.), Equity Distribution Agreement (PLx Pharma Inc.)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Securities, transactions contemplated by this Agreement will not be be, an “investment company,” as such that term is defined in in, nor is the Company otherwise subject to registration or regulation under, the Investment Company Act of 1940, as amended.

Appears in 19 contracts

Samples: Common Stock Purchase Agreement (NextDecade Corp.), Series C Convertible Preferred Stock Purchase Agreement (NextDecade Corp.), Series C Convertible Preferred Stock Purchase Agreement (NextDecade Corp.)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Securities, will not be an “investment company,or an entity “controlled” by an “investment company”, as such term is terms are defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).

Appears in 19 contracts

Samples: Underwriting Agreement (State Street Corp), Underwriting Agreement (State Street Corp), Underwriting Agreement (State Street Corp)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesShares, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 18 contracts

Samples: Underwriting Agreement (MamaMancini's Holdings, Inc.), Equity Distribution Agreement (Motus GI Holdings, Inc.), Underwriting Agreement (Super League Gaming, Inc.)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the proceeds thereof as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 16 contracts

Samples: Underwriting Agreement (Tsakos Energy Navigation LTD), Underwriting Agreement (William Lyon Homes), Underwriting Agreement (AC Immune SA)

Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Time of Sale Information, the Company will not be be, required to register as an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 15 contracts

Samples: Underwriting Agreement (Fifth Third Bancorp), Underwriting Agreement (Fifth Third Bancorp), Underwriting Agreement (Fifth Third Bancorp)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Registration Statement and the Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended1940 (the “Investment Company Act”).

Appears in 13 contracts

Samples: Equity Distribution Agreement (Washington Real Estate Investment Trust), Equity Distribution Agreement (Washington Real Estate Investment Trust), Equity Distribution Agreement (Washington Real Estate Investment Trust)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the proceeds thereof as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 13 contracts

Samples: Underwriting Agreement, Underwriting Agreement (Orbitz Worldwide, Inc.), Underwriting Agreement (Orbitz Worldwide, Inc.)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Shares and the application of the proceeds thereof as described in the General Disclosure Package and the Final Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended1940 (the “Investment Company Act”).

Appears in 12 contracts

Samples: Underwriting Agreement (36Kr Holdings Inc.), Underwriting Agreement (Soulgate Inc.), Underwriting Agreement (Zhangmen Education Inc.)

Investment Company Act. The Company is not andnot, and after giving effect to the offering offer and sale of the SecuritiesSecurities and the application of the proceeds therefrom as described in the General Disclosure Package and the Prospectus, will not be be, an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended1940 Act.

Appears in 11 contracts

Samples: Underwriting Agreement (WPX Energy, Inc.), Underwriting Agreement (WPX Energy, Inc.), Underwriting Agreement (WPX Energy, Inc.)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Disclosure Package and the Final Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 10 contracts

Samples: Underwriting Agreement (Dana Inc), Underwriting Agreement (Dana Inc), Underwriting Agreement (Dana Inc)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the proceeds thereof as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedAct.

Appears in 10 contracts

Samples: Underwriting Agreement (Proofpoint Inc), Underwriting Agreement (Washington Real Estate Investment Trust), Underwriting Agreement (Washington Real Estate Investment Trust)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the net proceeds thereof, including the proceeds received upon the exercise of the Warrants, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 9 contracts

Samples: Underwriting Agreement (Remark Holdings, Inc.), Underwriting Agreement (Digital Ally Inc), Underwriting Agreement (SenesTech, Inc.)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the proceeds thereof as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”) or an entity controlled by an investment company.

Appears in 9 contracts

Samples: Underwriting Agreement (Two Harbors Investment Corp.), Underwriting Agreement (Two Harbors Investment Corp.), Underwriting Agreement (Two Harbors Investment Corp.)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities as herein contemplated and the application of the proceeds thereof as described in the Pricing Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 8 contracts

Samples: Underwriting Agreement (Zions Bancorporation /Ut/), Underwriting Agreement (Zions Bancorporation /Ut/), Underwriting Agreement (Zions Bancorporation /Ut/)

Investment Company Act. The Company is not andnot, and immediately after giving effect to the offering and sale of the SecuritiesShares, will not be be, an “investment company,” as such that term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).

Appears in 8 contracts

Samples: Distribution Agreement (Tellurian Inc. /De/), Distribution Agreement (Tellurian Inc. /De/), Securities Purchase Agreement (Tellurian Inc. /De/)

Investment Company Act. The Company is not andnot, and after giving effect to the offering issuance and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Pricing Disclosure Package, will not be be, an “investment company,” ”, as such term is defined in the Investment Company Act of 1940, as amended, and the rules and regulations thereunder.

Appears in 8 contracts

Samples: Underwriting Agreement (Brighthouse Financial, Inc.), Underwriting Agreement (Brighthouse Financial, Inc.), Underwriting Agreement (Brighthouse Financial, Inc.)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof, will not be an “investment company,” ”, as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 8 contracts

Samples: Equity Distribution Agreement (Terreno Realty Corp), Equity Distribution Agreement (Terreno Realty Corp), Equity Distribution Agreement (Terreno Realty Corp)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 8 contracts

Samples: Underwriting Agreement (F-Star Therapeutics, Inc.), Purchase Agreement (Jefferies Group Inc /De/), Purchase Agreement (Jefferies Group Inc /De/)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the proceeds thereof as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.Act;

Appears in 8 contracts

Samples: Underwriting Agreement (Ute Energy Upstream Holdings LLC), Underwriting Agreement (Southern Union Co), Underwriting Agreement (Mariner Energy Inc)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the net proceeds thereof, including the proceeds received upon the exercise of the Warrants will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 7 contracts

Samples: Underwriting Agreement (Myomo Inc), Underwriting Agreement (Myomo Inc), Underwriting Agreement (Myomo Inc)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.;

Appears in 7 contracts

Samples: Underwriting Agreement (Pioneer Natural Resources Co), Underwriting Agreement (Pioneer Natural Resources Co), Underwriting Agreement (Pioneer Natural Resources Co)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Time of Sale Information and the Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 7 contracts

Samples: Underwriting Agreement (United States Steel Corp), Underwriting Agreement (United States Steel Corp), Underwriting Agreement (United States Steel Corp)

Investment Company Act. The Company is not andnot, and immediately after giving effect to the offering and sale of the Offered Securities, will not be be, an “investment company,” as such that term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).

Appears in 7 contracts

Samples: Placement Agent Agreement (Tellurian Inc. /De/), Placement Agent Agreement (Tellurian Inc. /De/), Underwriting Agreement (Tellurian Inc. /De/)

Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the Securities, Shares and the application of the net proceeds thereof will not be be, an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 7 contracts

Samples: Underwriting Agreement (Verdant Earth Technologies LTD), Underwriting Agreement (Verdant Earth Technologies LTD), Underwriting Agreement (Falconstor Software Inc)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesPlacement Shares, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 7 contracts

Samples: Sales Agreement (Beyond Air, Inc.), Sales Agreement (CONTRAFECT Corp), Equity Sales Agreement (Pfenex Inc.)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended1940 (the “Investment Company Act”).

Appears in 6 contracts

Samples: Underwriting Agreement (Misys PLC), Underwriting Agreement (Misys PLC), Underwriting Agreement (Kraton Performance Polymers, Inc.)

Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the Securities, Securities as herein contemplated will not be be, an “investment company,” or an entity “controlled” by an “investment company” as such term is terms are defined in the Investment Company Act of 1940, as amended.

Appears in 6 contracts

Samples: Underwriting Agreement (James River Group Holdings, Ltd.), Underwriting Agreement (James River Group Holdings, Ltd.), Underwriting Agreement (James River Group Holdings, Ltd.)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Securities, will not be an “investment company,” as such term is defined in the United States Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).

Appears in 6 contracts

Samples: Underwriting Agreement (Airgas Inc), Underwriting Agreement (Airgas Inc), Underwriting Agreement (Airgas Inc)

Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the SecuritiesShares and the application of proceeds thereof as described in the Disclosure Package, will not be be, an “investment company,as such term is defined in within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “1940 Act”).

Appears in 6 contracts

Samples: Underwriting Agreement (Carrizo Oil & Gas Inc), Underwriting Agreement (Carrizo Oil & Gas Inc), Underwriting Agreement (Carrizo Oil & Gas Inc)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesShares and the application of the proceeds thereof as described in the Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.;

Appears in 5 contracts

Samples: Underwriting Agreement (Pioneer Natural Resources Co), Underwriting Agreement (Pioneer Natural Resources Co), Underwriting Agreement (Pioneer Natural Resources Co)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Time of Sale Information and the Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 5 contracts

Samples: Underwriting Agreement (Associated Banc-Corp), Underwriting Agreement (Associated Banc-Corp), Underwriting Agreement (United States Steel Corp)

Investment Company Act. The Company is not andnot, nor, after giving effect to the offering and sale of the SecuritiesShares and the Warrants and the application of the proceeds therefrom, will not be it become, an “investment company,as such term is defined in within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.

Appears in 5 contracts

Samples: Common Stock Purchase Agreement (Volitionrx LTD), Securities Purchase Agreement (Interleukin Genetics Inc), Securities Purchase Agreement (Interleukin Genetics Inc)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Securities, will not be an “investment company” or an entity “controlled” by an “investment company,” as such term is terms are defined in the Investment Company Act of 1940, as amended.

Appears in 5 contracts

Samples: Securities Purchase Agreement (Assure Holdings Corp.), Securities Purchase Agreement (PLx Pharma Inc.), Securities Issuance Agreement (Ziopharm Oncology Inc)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the proceeds thereof as described in the General Disclosure Package, will not be an "investment company,” " as such term is defined in the Investment Company Act of 1940, as amended1940 (the "Investment Company Act").

Appears in 5 contracts

Samples: Underwriting Agreement (Venoco, Inc.), Underwriting Agreement (Bridgepoint Education Inc), Underwriting Agreement (Hireright Inc)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Securities, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 4 contracts

Samples: Securities Purchase Agreement (Graf Acquisition Corp. IV), Senior Convertible Note Purchase Agreement (Scynexis Inc), Senior Convertible Note Purchase Agreement (Scynexis Inc)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Securities, will not be an "investment company," as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 4 contracts

Samples: Underwriting Agreement (IZEA Worldwide, Inc.), Purchase Agreement (Chembio Diagnostics, Inc.), Purchase Agreement (Motorcar Parts America Inc)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesShares and the application of the proceeds thereof as described in the Time of Sale Information and the Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).

Appears in 4 contracts

Samples: Open Market Sale Agreement (Intellia Therapeutics, Inc.), Open Market Sale Agreement (Intellia Therapeutics, Inc.), Open Market Sale Agreement (Intellia Therapeutics, Inc.)

Investment Company Act. The Company is not and, after giving effect to upon the offering and sale of the SecuritiesOffered Securities as herein contemplated, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.amended (the “Investment Company Act”);

Appears in 4 contracts

Samples: Underwriting Agreement (Rockwood Holdings, Inc.), Underwriting Agreement (Rockwood Holdings, Inc.), Underwriting Agreement (Rockwood Holdings, Inc.)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the proceeds thereof as described in the General Disclosure Package, will not be an "investment company,” " as such term is defined in the Investment Company Act of 1940, as amended1940 (the "INVESTMENT COMPANY ACT").

Appears in 4 contracts

Samples: Underwriting Agreement (E-House (China) Holdings LTD), Underwriting Agreement (Netezza Corp), Underwriting Agreement (E-House (China) Holdings LTD)

Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the SecuritiesShares, will not be an “investment company” or an entity “controlled” by an “investment company,” as such term is terms are defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).

Appears in 4 contracts

Samples: Securities Purchase Agreement (Immucell Corp /De/), Securities Purchase Agreement (Immucell Corp /De/), Securities Purchase Agreement (Transwitch Corp /De)

Investment Company Act. The Company is not and, at Closing after giving effect to the offering and sale of the Securities, Securities will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended1940 (the “Investment Company Act”).

Appears in 4 contracts

Samples: Underwriting Agreement (Builders FirstSource, Inc.), Underwriting Agreement (Warburg Pincus Private Equity IX, L.P.), Underwriting Agreement (Builders FirstSource, Inc.)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Securities, will not be an “investment company” or an entity “controlled” by an “investment company,” as such term is terms are defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).

Appears in 4 contracts

Samples: Underwriting Agreement (Banuestra Financial CORP), Underwriting Agreement (Banuestra Financial CORP), Underwriting Agreement (Banuestra Financial CORP)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the General Disclosure Package or Final Prospectus, will not be an “investment company,” ”, as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 4 contracts

Samples: Underwriting Agreement (State Street Corp), Underwriting Agreement (State Street Corp), Underwriting Agreement (State Street Corp)

Investment Company Act. The Company is not and, after giving effect to the offering Transactions and sale of the SecuritiesOther Transactions, will not be be, an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 4 contracts

Samples: Convertible Notes Purchase Agreement (Biora Therapeutics, Inc.), Convertible Notes Exchange Agreement (Biora Therapeutics, Inc.), Convertible Notes Exchange Agreement (Biora Therapeutics, Inc.)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities as herein contemplated and the application of the proceeds thereof as described in the Pricing Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 4 contracts

Samples: Underwriting Agreement (Zions Bancorporation /Ut/), Underwriting Agreement (Zions Bancorporation /Ut/), Underwriting Agreement (Zions Bancorporation /Ut/)

Investment Company Act. The Company is not an "investment company" and, after giving effect to the offering and sale of the SecuritiesSecurities contemplated by this Agreement and the application of the proceeds therefrom, will not be an "investment company,” ", as such term is defined in the Investment Company Act of 1940, as amendedamended (the "1940 Act").

Appears in 4 contracts

Samples: Purchase Agreement (Istar Financial Inc), Purchase Agreement (Istar Financial Inc), Purchase Agreement (Istar Financial Inc)

Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale consummation of the Securities, Exchange Offer and the Consent Solicitation will not be be, an “investment company,” ”, as such term is defined in the United States Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).

Appears in 4 contracts

Samples: Dealer Manager and Solicitation Agent Agreement (Westrock Coffee Co), Dealer Manager Agreement (Zura Bio LTD), Dealer Manager Agreement (Zura Bio LTD)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”) or an entity controlled by an investment company.

Appears in 4 contracts

Samples: Equity Distribution Agreement (Two Harbors Investment Corp.), Equity Distribution Agreement (Two Harbors Investment Corp.), Equity Distribution Agreement (Granite Point Mortgage Trust Inc.)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Securities, will not be or be required to register as an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 4 contracts

Samples: Underwriting Agreement (Phunware, Inc.), Underwriting Agreement (Rekor Systems, Inc.), Underwriting Agreement (HyreCar Inc.)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Time of Sale Information, the Company will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedAct.

Appears in 3 contracts

Samples: Underwriting Agreement (City National Corp), Underwriting Agreement (City National Corp), Underwriting Agreement (City National Corp)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended1940 (the “Investment Company Act”).

Appears in 3 contracts

Samples: Underwriting Agreement (Pico Holdings Inc /New), Underwriting Agreement (Pico Holdings Inc /New), Underwriting Agreement (Regions Financial Corp)

Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the Securities contemplated hereunder and for so long any Buyer holds any Securities, will not be an "investment company,” as " within the meaning of such term is defined in under the Investment Company Act of 1940, 1940 as amendedamended and the rules and regulations of the SEC thereunder.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Energy Telecom, Inc.), Securities Purchase Agreement (Energy Telecom, Inc.), Securities Purchase Agreement (Energy Telecom, Inc.)

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Investment Company Act. The Company is not andnot, and immediately after giving effect to the offering offer and sale of the SecuritiesSecurities as herein contemplated, will not be be, an “investment company,as such term is defined in or a company “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder.

Appears in 3 contracts

Samples: Underwriting Agreement (OneMain Holdings, Inc.), Underwriting Agreement (OneMain Holdings, Inc.), Underwriting Agreement (OneMain Holdings, Inc.)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of proceeds thereof as described in the Pricing Disclosure Package and the Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 3 contracts

Samples: Underwriting Agreement (Spring Bank Pharmaceuticals, Inc.), Underwriting Agreement (Spring Bank Pharmaceuticals, Inc.), Underwriting Agreement (Spring Bank Pharmaceuticals, Inc.)

Investment Company Act. The Company is not not, and, after giving effect to the offering and sale of the Securities, the Company will not be be, an "investment company," or an entity "controlled" by an investment company, as such term is terms are defined in the Investment Company Act of 1940, as amended.

Appears in 3 contracts

Samples: Underwriting Agreement (Ameren Corp), Underwriting Agreement (Ameren Corp), Underwriting Agreement (Ameren Corp)

Investment Company Act. The Company is not and, after giving ---------------------- effect to the offering and sale of the SecuritiesShares and the application of the proceeds thereof, will not be an "investment company,” " as such term is defined in the Investment Company Act of 1940, as amendedamended (the "Investment Company Act"). The Company is not directly or indirectly controlled by or acting on behalf of any person which is an "investment company" as such term is defined in the Investment Company Act.

Appears in 3 contracts

Samples: Subscription Agreement (Prosoft I Net Solutions Inc), Subscription Agreement (Prosoft I Net Solutions Inc), Subscription Agreement (Prosoft I Net Solutions Inc)

Investment Company Act. The Company is not andnot, after giving effect to and upon the offering issuance and sale of the Securities, Securities as herein contemplated and the application of the net proceeds therefrom as described in the Offering Memorandum will not be be, an "investment company,” " as such term is defined in the Investment Company Act of 1940, as amendedamended (the "1940 Act").

Appears in 3 contracts

Samples: Purchase Agreement (Packard Bioscience Co), Purchase Agreement (Einstein Noah Bagel Corp), Purchase Agreement (Imc Global Inc)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesPublic Securities and the application of the net proceeds thereof, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 3 contracts

Samples: Underwriting Agreement (Reebonz Holding LTD), Underwriting Agreement (Reebonz Holding LTD), Underwriting Agreement (BioNano Genomics, Inc)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Prospectus, will not be become an “investment company,as such term is defined in within the meaning of the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”) and the rules and regulations of the Commission thereunder.

Appears in 3 contracts

Samples: Purchase Agreement (Cv Therapeutics Inc), Purchase Agreement (Cv Therapeutics Inc), Purchase Agreement (Cv Therapeutics Inc)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesShares and the application of the proceeds thereof, will not be an “investment company,” ”, as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).

Appears in 3 contracts

Samples: Underwriting Agreement (Bill Barrett Corp), Equity Distribution Agreement (Bill Barrett Corp), Underwriting Agreement (Bill Barrett Corp)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Time of Sale Information, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 3 contracts

Samples: Underwriting Agreement (Associated Banc-Corp), Underwriting Agreement (Associated Banc-Corp), Underwriting Agreement (Associated Banc-Corp)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesShares and the application of the proceeds thereof, will not be an “investment company,” as such term is defined in the United States Investment Company Act of 1940, as amended.

Appears in 3 contracts

Samples: Subscription Agreement, Subscription Agreement (AC Immune SA), Subscription Agreement (AC Immune SA)

Investment Company Act. The Company is not and, after giving effect to the offering and sale issuance of the SecuritiesCompany Shares in connection with the Offer, will not be an "investment company,” as such term is defined in " required to be registered under the Investment Company Act of 1940, as amended.

Appears in 3 contracts

Samples: Dealer Manager Agreement (Williams Companies Inc), Dealer Manager Agreement (Williams Companies Inc), Dealer Manager Agreement (Teco Energy Inc)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesNotes and the application of the proceeds thereof as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).

Appears in 3 contracts

Samples: Underwriting Agreement (Atwood Oceanics Inc), Underwriting Agreement (Atwood Oceanics Inc), Underwriting Agreement (Aon Corp)

Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Time of Sale Disclosure Package and the Prospectus, will not be become an “investment company,as such term is defined in within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder.

Appears in 3 contracts

Samples: Purchase Agreement (CymaBay Therapeutics, Inc.), Purchase Agreement (CymaBay Therapeutics, Inc.), Purchase Agreement (CymaBay Therapeutics, Inc.)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesPreferred Shares and the Warrants and the application of the proceeds thereof, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Giga Tronics Inc), Securities Purchase Agreement (Giga Tronics Inc), Securities Purchase Agreement (Giga Tronics Inc)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof, will not be an “investment company,” ”, as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).

Appears in 3 contracts

Samples: Purchase Agreement (BridgeBio Pharma, Inc.), Underwriting Agreement (Corpbanca/Fi), Underwriting Agreement (Corpbanca/Fi)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the proceeds thereof as described in the General Disclosure Package and Final Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended1940 (the “Investment Company Act”).

Appears in 3 contracts

Samples: Underwriting Agreement (Ferro Corp), Underwriting Agreement (Ambac Financial Group Inc), Underwriting Agreement (Ambac Financial Group Inc)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Offered Securities, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).

Appears in 3 contracts

Samples: Underwriting Agreement (Stillwater Mining Co /De/), Underwriting Agreement (Syntel Inc), Underwriting Agreement (Syntel Inc)

Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the Securities, will not be be, an “investment company,” or an entity “controlled” by an “investment company” as such term is terms are defined in the Investment Company Act of 1940, as amended.amended (the “Investment Company Act”);

Appears in 3 contracts

Samples: Underwriting Agreement (Oglethorpe Power Corp), Underwriting Agreement (Oglethorpe Power Corp), Underwriting Agreement (Oglethorpe Power Corp)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesShares and the application of the net proceeds thereof, including the proceeds received upon the exercise of the Warrants, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 3 contracts

Samples: Underwriting Agreement (Massimo Group), Underwriting Agreement (Massimo Group), Underwriting Agreement (Massimo Group)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the General Disclosure Package, will not be be, an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).

Appears in 3 contracts

Samples: Underwriting Agreement (Analog Devices Inc), Underwriting Agreement (Analog Devices Inc), Underwriting Agreement (Analog Devices Inc)

Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the SecuritiesShares, will not be be, an “investment company,” ”, as such term is defined in the United States Investment Company Act of 1940, as amended.

Appears in 3 contracts

Samples: Underwriting Agreement (Maxeon Solar Technologies, Ltd.), Underwriting Agreement (Maxeon Solar Technologies, Ltd.), Underwriting Agreement (Maxeon Solar Technologies, Ltd.)

Investment Company Act. The Company is not andnot, after giving effect to and upon the offering and sale of the Securities, Securities as herein contemplated will not be be, an “investment company,” or an entity “controlled” by an “investment company” as such term is terms are defined in the Investment Company Act of 1940, as amendedamended (the “1940 Act”).

Appears in 3 contracts

Samples: Underwriting Agreement (Memc Electronic Materials Inc), Underwriting Agreement (Memc Electronic Materials Inc), Underwriting Agreement (Memc Electronic Materials Inc)

Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the Securities, Securities and the application of the net proceeds thereof will not be be, an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 3 contracts

Samples: Underwriting Agreement (zSpace, Inc.), Underwriting Agreement (zSpace, Inc.), Underwriting Agreement (zSpace, Inc.)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Offered Securities, will not be be, an "investment company,” ", as such term is defined in the Investment Company Act of 1940, as amendedamended (the "Investment Company Act").

Appears in 3 contracts

Samples: Terms Agreement (Gillette Co), Terms Agreement (Gillette Co), Terms Agreement (Gillette Co)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the net proceeds thereof, including the proceeds received upon the exercise of the Underwriter Warrants will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 3 contracts

Samples: Underwriting Agreement (Hoth Therapeutics, Inc.), Underwriting Agreement (Hoth Therapeutics, Inc.), Underwriting Agreement (Hoth Therapeutics, Inc.)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesTransactions, will not be an “investment company,” ”, as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Poseida Therapeutics, Inc.), Securities Purchase Agreement (Taysha Gene Therapies, Inc.), Securities Purchase Agreement (Taysha Gene Therapies, Inc.)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesStock, will not be be, an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”), and the rules and regulations promulgated thereunder.

Appears in 3 contracts

Samples: Underwriting Agreement (Turning Point Brands, Inc.), Underwriting Agreement (Turning Point Brands, Inc.), Underwriting Agreement (Standard Diversified Inc.)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).

Appears in 3 contracts

Samples: Underwriting Agreement (Revance Therapeutics, Inc.), Underwriting Agreement (Revance Therapeutics, Inc.), Underwriting Agreement (Revance Therapeutics, Inc.)

Investment Company Act. The Company is not andnot, nor, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds therefrom, will not be it become, an “investment company,as such term is defined in within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.

Appears in 3 contracts

Samples: Securities Purchase Agreement (GTC Biotherapeutics Inc), Note and Warrant Purchase Agreement (GTC Biotherapeutics Inc), Stock and Note Purchase Agreement (GTC Biotherapeutics Inc)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesShares and the application of the proceeds thereof as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended1940 (the “Investment Company Act”).

Appears in 3 contracts

Samples: At the Market Equity Offering Sales Agreement (Safe Bulkers, Inc.), At the Market Equity Offering Sales Agreement (Tsakos Energy Navigation LTD), At the Market Equity Offering Sales Agreement (Tsakos Energy Navigation LTD)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the net proceeds thereof as described in the Registration Statement, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 3 contracts

Samples: Underwriting Agreement (PepperLime Health Acquisition Corp), Underwriting Agreement (PepperLime Health Acquisition Corp), Underwriting Agreement (PepperLime Health Acquisition Corp)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesShares and the application of the proceeds thereof as described in the General Disclosure Package and the Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.

Appears in 3 contracts

Samples: Atm Equity Offering Sales Agreement (Neoleukin Therapeutics, Inc.), At the Market Equity Offering Sales Agreement (Reata Pharmaceuticals Inc), Underwriting Agreement (Jefferies Group Inc /De/)

Investment Company Act. The Company is not not, and, after giving effect to the offering and sale of the Securities, and the application of the proceeds thereof, will not be an “investment company,” or an entity “controlled” by an “investment company” as such term is terms are defined in the Investment Company Act of 1940, as amended.

Appears in 3 contracts

Samples: Purchase Agreement (CareDx, Inc.), Purchase Agreement (CareDx, Inc.), Purchase Agreement (CareDx, Inc.)

Investment Company Act. The Company is not andnot, after giving effect to and upon the offering and sale of the Securities, Securities as herein contemplated will not be be, an "investment company,” " or an entity "controlled" by an "investment company" as such term is terms are defined in the Investment Company Act of 1940, as amendedamended (the "1940 Act").

Appears in 3 contracts

Samples: u.s. Purchase Agreement (Rayovac Corp), Underwriting Agreement (Memc Electronic Materials Inc), Underwriting Agreement (Memc Electronic Materials Inc)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesShares and the application of the proceeds thereof as described in the Registration Statement or the Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).

Appears in 3 contracts

Samples: Open Market Sale Agreement (Fate Therapeutics Inc), Open Market Sale Agreement (Fate Therapeutics Inc), Open Market Sale Agreement (Fate Therapeutics Inc)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Securitiestransactions contemplated by this Agreement, will not be an “investment company,as such term is defined in within the meaning of the Investment Company Act of 1940, as amended.

Appears in 3 contracts

Samples: Series B Convertible Preferred Stock Purchase Agreement (Ihop Corp), Investment Agreement (Republic Airways Holdings Inc), Series a Perpetual Preferred Stock Purchase Agreement (Ihop Corp)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof and the other transactions as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended1940 (the “Investment Company Act”).

Appears in 3 contracts

Samples: Underwriting Agreement (Heckmann CORP), Underwriting Agreement (K Road Acquisition CORP), Underwriting Agreement (Heckmann CORP)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the net proceeds thereof as described in the Time of Sale Information and the Prospectus, will not be an “investment company,as such term is defined in within the meaning of the Investment Company Act of 1940, as amendedamended (“Investment Company Act”).

Appears in 2 contracts

Samples: Underwriting Agreement (Martin Marietta Materials Inc), Underwriting Agreement (Martin Marietta Materials Inc)

Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesShares, will not be an “investment company,as such term is defined in within the meaning of the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).

Appears in 2 contracts

Samples: Underwriting Agreement (Southwest Water Co), Underwriting Agreement (Southwest Water Co)

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