Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 423 contracts
Samples: Underwriting Agreement (Crinetics Pharmaceuticals, Inc.), Underwriting Agreement (Camp4 Therapeutics Corp), Underwriting Agreement (CSW Industrials, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 145 contracts
Samples: Underwriting Agreement (MBX Biosciences, Inc.), Underwriting Agreement (RxSight, Inc.), Underwriting Agreement (Super Micro Computer, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Units and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 140 contracts
Samples: Underwriting Agreement (Trailblazer Merger Corp I), Underwriting Agreement (Trailblazer Merger Corp I), Underwriting Agreement (Horizon Space Acquisition I Corp.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 39 contracts
Samples: Underwriting Agreement (Replimune Group, Inc.), Underwriting Agreement (Stoke Therapeutics, Inc.), Placement Agent Agreement (Sangamo Therapeutics, Inc)
Investment Company Act. The Company is not andnot, after giving effect to and upon the offering issuance and sale of the Shares as herein contemplated and the application of the net proceeds thereof therefrom as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, Prospectus will not be required to register as be, an “investment company” or an entity “controlled” by an “investment company” within the meaning of as such terms are defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder amended (collectively, the “Investment Company Act”).
Appears in 37 contracts
Samples: Underwriting Agreement (Flushing Financial Corp), Underwriting Agreement (Financial Institutions Inc), Underwriting Agreement (Coastal Financial Corp)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”)thereunder.
Appears in 37 contracts
Samples: Underwriting Agreement (StandardAero, Inc.), Underwriting Agreement (StandardAero, Inc.), Underwriting Agreement (Waystar Holding Corp.)
Investment Company Act. The Company is not and, immediately after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 31 contracts
Samples: Underwriting Agreement (Dyne Therapeutics, Inc.), Underwriting Agreement (Dyne Therapeutics, Inc.), Underwriting Agreement (Biomea Fusion, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 23 contracts
Samples: Underwriting Agreement (Sovos Brands, Inc.), Underwriting Agreement (Five Prime Therapeutics, Inc.), Underwriting Agreement (Mersana Therapeutics, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Public Units and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 21 contracts
Samples: Underwriting Agreement (KnightSwan Acquisition Corp), Underwriting Agreement (KnightSwan Acquisition Corp), Underwriting Agreement (Chain Bridge I)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Offered Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing General Disclosure Package and the Final Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of as defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder amended (collectively, the “Investment Company Act”).
Appears in 17 contracts
Samples: Underwriting Agreement (BKV Corp), Underwriting Agreement (BKV Corp), Underwriting Agreement (BKV Corp)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”)thereunder.
Appears in 16 contracts
Samples: Underwriting Agreement (Hornbeck Offshore Services Inc /La), Underwriting Agreement (Ardent Health Partners, LLC), Underwriting Agreement (Games Global LTD)
Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, Prospectus will not be be, required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 15 contracts
Samples: Underwriting Agreement (Elevation Oncology, Inc.), Underwriting Agreement, Underwriting Agreement (Apollo Commercial Real Estate Finance, Inc.)
Investment Company Act. The Company is not and, solely after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Final Prospectus, will not be required subject to register registration and regulation as an “investment company” or an entity “controlled” by an “investment company” within the meaning of as such term is defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder amended (collectively, the “Investment Company Act”).
Appears in 14 contracts
Samples: Underwriting Agreement (Starwood Property Trust, Inc.), Underwriting Agreement (Starwood Property Trust, Inc.), Underwriting Agreement (Starwood Property Trust, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 14 contracts
Samples: Underwriting Agreement (Moove Lubricants Holdings), Underwriting Agreement (Cava Group, Inc.), Underwriting Agreement (Option Care Health, Inc.)
Investment Company Act. The Company is not andnot, after giving effect to and upon the offering issuance and sale of the Shares as contemplated herein and in the Other Agreements and the application of the net proceeds thereof therefrom as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, Prospectus will not be required to register as be, an “investment company” or an entity “controlled” by an “investment company” within the meaning of as such terms are defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 13 contracts
Samples: Sales Agency Agreement (Avista Corp), Sales Agency Agreement (Avista Corp), Sales Agency Agreement (Avista Corp)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Offered ADSs and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 9 contracts
Samples: Underwriting Agreement (Molecular Partners Ag), Underwriting Agreement (Dynacure S.A.), Underwriting Agreement (Molecular Partners Ag)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 8 contracts
Samples: Underwriting Agreement (InnovAge Holding Corp.), Underwriting Agreement (Nano-X Imaging Ltd.), Underwriting Agreement (Nano-X Imaging Ltd.)
Investment Company Act. The Neither the Company is not andnor Xxxxxxxx Xxxx is, nor after giving effect to the offering and sale of the Shares and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 8 contracts
Samples: Underwriting Agreement (Hamilton Lane INC), Underwriting Agreement (Hamilton Lane INC), Underwriting Agreement (Hamilton Lane INC)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 7 contracts
Samples: Underwriting Agreement (Axalta Coating Systems Ltd.), Underwriting Agreement (Axalta Coating Systems Ltd.), Underwriting Agreement (Axalta Coating Systems Ltd.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 7 contracts
Samples: Underwriting Agreement (Synovus Financial Corp), Underwriting Agreement (Southern National Bancorp of Virginia Inc), Underwriting Agreement (Synovus Financial Corp)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Offered Securities and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 6 contracts
Samples: Underwriting Agreement (HW Electro Co., Ltd.), Underwriting Agreement (HW Electro Co., Ltd.), Underwriting Agreement (HW Electro Co., Ltd.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 6 contracts
Samples: Underwriting Agreement (Precigen, Inc.), Underwriting Agreement (Precigen, Inc.), Underwriting Agreement (Precigen, Inc.)
Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, Prospectus will not be be, required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 6 contracts
Samples: Underwriting Agreement (Apollo Commercial Real Estate Finance, Inc.), Underwriting Agreement (Apollo Commercial Real Estate Finance, Inc.), Underwriting Agreement (Apollo Commercial Real Estate Finance, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Offered ADSs and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”)thereunder.
Appears in 6 contracts
Samples: Underwriting Agreement (Xunlei LTD), Underwriting Agreement (Trony Solar Holdings Co LTD), Underwriting Agreement (Xunlei LTD)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as as, an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 5 contracts
Samples: Underwriting Agreement (GDS Holdings LTD), Underwriting Agreement (GDS Holdings LTD), Underwriting Agreement (GDS Holdings LTD)
Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in each of the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 5 contracts
Samples: Underwriting Agreement (ONE Gas, Inc.), Underwriting Agreement (ONE Gas, Inc.), Underwriting Agreement (ONE Gas, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing General Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 5 contracts
Samples: Underwriting Agreement (Texas Capital Bancshares Inc/Tx), Underwriting Agreement (Texas Capital Bancshares Inc/Tx), Underwriting Agreement (Texas Capital Bancshares Inc/Tx)
Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the Shares Securities as contemplated herein and the application of the net proceeds thereof therefrom as described in the Registration Statement, the Pricing General Disclosure Package and the ProspectusProspectus under the caption “Use of Proceeds”, will not be required to register as be registered as, an “investment company” or an entity “controlled” by an “investment company” within the meaning of (as such terms are defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder ) (collectively, the “Investment Company Act”).
Appears in 5 contracts
Samples: Purchase Agreement (Hatteras Financial Corp), Purchase Agreement (Hatteras Financial Corp), Purchase Agreement (Hatteras Financial Corp)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares ADSs and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”)thereunder.
Appears in 5 contracts
Samples: Underwriting Agreement (Materialise Nv), Underwriting Agreement (Materialise Nv), Underwriting Agreement (Innocoll AG)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Units and the Private Placement Warrants and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 5 contracts
Samples: Underwriting Agreement (Spring Valley Acquisition Corp. II), Underwriting Agreement (Spring Valley Acquisition Corp. II), Underwriting Agreement (Spring Valley Acquisition Corp. II)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares (including the Share Repurchase) and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 4 contracts
Samples: Underwriting Agreement (Michaels Companies, Inc.), Underwriting Agreement (Michaels Companies, Inc.), Underwriting Agreement (Michaels Companies, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Underwritten Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 4 contracts
Samples: Underwriting Agreement (Synovus Financial Corp), Underwriting Agreement (Synovus Financial Corp), Underwriting Agreement (Synovus Financial Corp)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 4 contracts
Samples: Underwriting Agreement (Kinsale Capital Group, Inc.), Underwriting Agreement (Kinsale Capital Group, Inc.), Underwriting Agreement (Umpqua Holdings Corp)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 4 contracts
Samples: Underwriting Agreement (DoubleDown Interactive Co., Ltd.), Underwriting Agreement (DoubleDown Interactive Co., Ltd.), Underwriting Agreement (DoubleDown Interactive Co., Ltd.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, nor will it be required to register as as, an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 4 contracts
Samples: Underwriting Agreement (Quanterix Corp), Underwriting Agreement (Quanterix Corp), Underwriting Agreement (Quanterix Corp)
Investment Company Act. The Company is not not, and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”)thereunder.
Appears in 4 contracts
Samples: Underwriting Agreement (Biocryst Pharmaceuticals Inc), Underwriting Agreement (Biocryst Pharmaceuticals Inc), Underwriting Agreement (Biocryst Pharmaceuticals Inc)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Units and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the applicable rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 4 contracts
Samples: Underwriting Agreement (Excolere Acquisition Corp.), Underwriting Agreement (Excolere Acquisition Corp.), Underwriting Agreement (Accelerate Acquisition Corp.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Units and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”)thereunder.
Appears in 4 contracts
Samples: Underwriting Agreement (Palatin Technologies Inc), Underwriting Agreement (Palatin Technologies Inc), Underwriting Agreement (EnteroMedics Inc)
Investment Company Act. The Company is not and, nor after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, Prospectus will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 4 contracts
Samples: Underwriting Agreement (Deciphera Pharmaceuticals, Inc.), Underwriting Agreement (Deciphera Pharmaceuticals, Inc.), Underwriting Agreement (Deciphera Pharmaceuticals, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of under the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder amended (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Colfax CORP), Underwriting Agreement (Colfax CORP), Underwriting Agreement (Colfax CORP)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “"investment company” " or an entity “"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 (collectively, the “"Investment Company Act”").
Appears in 3 contracts
Samples: Underwriting Agreement (Anacor Pharmaceuticals Inc), Underwriting Agreement (Portland General Electric Co /Or/), Underwriting Agreement (DealerTrack Holdings, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares ADSs and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement, Underwriting Agreement (United Breweries Co Inc), Underwriting Agreement (Cencosud S.A.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the net proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of as defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Cleveland-Cliffs Inc.), Underwriting Agreement (Cliffs Natural Resources Inc.), Underwriting Agreement (Cliffs Natural Resources Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (D-Market Electronic Services & Trading), Underwriting Agreement (Tyme Technologies, Inc.), Underwriting Agreement (eHi Car Services LTD)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be be, required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Athenex, Inc.), Underwriting Agreement (Athenex, Inc.), Underwriting Agreement (Athenex, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”)thereunder.
Appears in 3 contracts
Samples: Underwriting Agreement (Ortho Clinical Diagnostics Holdings PLC), Underwriting Agreement (Fiverr International Ltd.), Underwriting Agreement (Fiverr International Ltd.)
Investment Company Act. The Company is not and, immediately after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”)thereunder.
Appears in 3 contracts
Samples: Underwriting Agreement (Verve Therapeutics, Inc.), Underwriting Agreement (Akoya Biosciences, Inc.), Underwriting Agreement (Akoya Biosciences, Inc.)
Investment Company Act. The Company is not andnot, and after giving effect to the offering issuance and sale of the Shares by the Company pursuant to this Agreement and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Healthequity, Inc.), Underwriting Agreement (Healthequity, Inc.), Underwriting Agreement (Healthequity, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be be, required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”)thereunder.
Appears in 3 contracts
Samples: Underwriting Agreement (Ziopharm Oncology Inc), Underwriting Agreement (Ziopharm Oncology Inc), Underwriting Agreement (Ziopharm Oncology Inc)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Atara Biotherapeutics, Inc.), Underwriting Agreement (Atara Biotherapeutics, Inc.), Underwriting Agreement (Atara Biotherapeutics, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing General Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Southern National Bancorp of Virginia Inc), Underwriting Agreement (Southern National Bancorp of Virginia Inc), Underwriting Agreement (Capital Bank Corp)
Investment Company Act. The Company is not andnot, and immediately after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, Prospectus will not be be, required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Constellation Pharmaceuticals Inc), Underwriting Agreement (Constellation Pharmaceuticals Inc), Underwriting Agreement (Constellation Pharmaceuticals Inc)
Investment Company Act. The Company is not and, immediately after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Sunnova Energy International Inc.), Underwriting Agreement (Sunnova Energy International Inc.), Underwriting Agreement (Sunnova Energy International Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (La Quinta Holdings Inc.), Underwriting Agreement (La Quinta Holdings Inc.), Underwriting Agreement (La Quinta Holdings Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”)thereunder.
Appears in 3 contracts
Samples: Underwriting Agreement (Candela Medical, Inc.), Underwriting Agreement (Lipocine Inc.), Underwriting Agreement (Venaxis, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Primary Shares and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Disco (Guernsey) Holdings L.P. Inc.), Underwriting Agreement (Accenture PLC), Underwriting Agreement (Duck Creek Technologies, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Notes and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”)thereunder.
Appears in 3 contracts
Samples: Underwriting Agreement (Fidelity National Financial, Inc.), Underwriting Agreement (Fidelity National Financial, Inc.), Underwriting Agreement (Fidelity National Financial, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering Offering and sale of the Shares Units and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Forbion European Acquisition Corp.), Underwriting Agreement (Forbion European Acquisition Corp.), Underwriting Agreement
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Notes and the application of the proceeds thereof as described in the Registration Statement, the Pricing General Disclosure Package and the Final Prospectus, will not be required to register as an “investment company,” or an entity “controlled” by an “investment company” within the meaning of as defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder amended (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Otis Worldwide Corp), Underwriting Agreement (Otis Worldwide Corp), Underwriting Agreement (Otis Worldwide Corp)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of as defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Cliffs Natural Resources Inc.), Underwriting Agreement (Cliffs Natural Resources Inc.), Underwriting Agreement (Cliffs Natural Resources Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of as such term is described in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Orbotech LTD), Equity Securities Underwriting Agreement (Orbotech LTD), Underwriting Agreement (Orbotech LTD)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of required to register under the Investment Company Act of 1940, as amendedamended (the “Investment Company Act” which term, and as used herein, includes the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”thereunder).
Appears in 3 contracts
Samples: Underwriting Agreement (New Business Netherlands N.V.), Underwriting Agreement (New Business Netherlands N.V.), Underwriting Agreement (New Business Netherlands N.V.)
Investment Company Act. The Company is not andnot, after giving effect to and upon the offering issuance and sale of the Shares Securities as herein contemplated and the application of the net proceeds thereof therefrom as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, Prospectus will not be be, required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of under the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder amended (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Independent Bank Group, Inc.), Underwriting Agreement (Veritex Holdings, Inc.), Underwriting Agreement (Independent Bank Group, Inc.)
Investment Company Act. The Company is not and, immediately after giving effect to the offering and sale of the Shares and the application by the Company of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Sunnova Energy International Inc.), Underwriting Agreement (Sunnova Energy International Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering offer and sale of the Shares and the application of the proceeds thereof therefrom as described in each of the Registration Statement, the Pricing Disclosure Package and the Prospectus, Prospectus will not be required to register as be, an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (VEREIT Operating Partnership, L.P.), Underwriting Agreement (VEREIT Operating Partnership, L.P.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Final Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (SiriusPoint LTD), Underwriting Agreement (SiriusPoint LTD)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, Prospectus and the application of the proceeds thereof as described in each of the Pricing Disclosure Package and the Prospectus under the heading “Use of Proceeds,” the Company will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”)thereunder.
Appears in 2 contracts
Samples: Underwriting Agreement (Vital Energy, Inc.), Underwriting Agreement (Laredo Petroleum, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof upon completion of the offering and sale of the Shares as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Nektar Therapeutics), Underwriting Agreement (Nektar Therapeutics)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing General Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”)thereunder.
Appears in 2 contracts
Samples: Underwriting Agreement (Petroleum Development Corp), Underwriting Agreement (Petroleum Development Corp)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Synovus Financial Corp), Underwriting Agreement (Synovus Financial Corp)
Investment Company Act. The Company is not andnot, after giving effect to and upon the offering issuance and sale of the Shares Securities as herein contemplated and the application of the net proceeds thereof therefrom as described in the Registration Statement, the Pricing General Disclosure Package and the Prospectus, and after giving effect to the transactions contemplated by the Capped Call Confirmations will not be be, required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of as such term is defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Pebblebrook Hotel Trust), Underwriting Agreement (Pebblebrook Hotel Trust)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Offered Shares and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Stratasys Ltd.), Underwriting Agreement (Objet LTD)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of as defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Cliffs Natural Resources Inc.), Underwriting Agreement (Cliffs Natural Resources Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Offered ADSs and the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (BioNTech SE), Underwriting Agreement (BioNTech SE)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof received by the Company, if any, as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”)thereunder.
Appears in 2 contracts
Samples: Underwriting Agreement (Boot Barn Holdings, Inc.), Underwriting Agreement (Boot Barn Holdings, Inc.)
Investment Company Act. The Company is not andnot, after giving effect to and upon the offering issuance and sale of the Shares as herein contemplated and the application of the net proceeds thereof therefrom as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, Prospectus will not be required to register as be, an “investment company” or an entity “controlled” by an “investment company” within the meaning of as such terms are defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder amended (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Hanover Bancorp, Inc. /NY), Underwriting Agreement (LINKBANCORP, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Axalta Coating Systems Ltd.), Underwriting Agreement (CommScope Holding Company, Inc.)
Investment Company Act. The Neither the Company is not andnor Hxxxxxxx Xxxx is, nor after giving effect to the offering and sale of the Shares and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Hamilton Lane INC), Underwriting Agreement (Hamilton Lane INC)
Investment Company Act. The Company is not registered and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register register, as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Quantum Fuel Systems Technologies Worldwide, Inc.), Underwriting Agreement (Quantum Fuel Systems Technologies Worldwide, Inc.)
Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the Shares Offered Securities and the application of the proceeds thereof therefrom as described in each of the Registration Statement, Statement and the Pricing General Disclosure Package and the Final Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Crescent Energy Co), Underwriting Agreement (Crescent Energy Co)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the issuance of the Representative Warrant Shares upon the exercise of the Representative Warrant, as applicable, and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (SONDORS Inc.), Underwriting Agreement (SONDORS Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the U.S. Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Concentra Group Holdings Parent, Inc.), Underwriting Agreement (Iris Energy LTD)
Investment Company Act. The Company is not and, after giving effect to the issuance, offering and sale of the Shares and the application of the proceeds thereof as described in each of the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”)thereunder.
Appears in 2 contracts
Samples: Underwriting Agreement (Gaming & Leisure Properties, Inc.), Underwriting Agreement (Gaming & Leisure Properties, Inc.)
Investment Company Act. The Company is not not, and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be be, required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of as such term is defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (NanoString Technologies Inc), Underwriting Agreement (NanoString Technologies Inc)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of under the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Heska Corp), Underwriting Agreement (HeartWare International, Inc.)
Investment Company Act. The Company is not andnot, and immediately after giving effect to the offering and sale of the Shares and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, Prospectus will not be be, required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement, Underwriting Agreement (EverQuote, Inc.)
Investment Company Act. The Company is and the LLC are not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be be, required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”)thereunder.
Appears in 2 contracts
Samples: Underwriting Agreement (Nextracker Inc.), Underwriting Agreement (Nextracker Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Offered Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing General Disclosure Package and the Final Prospectus, will not be required to register as an “investment company,” or an entity “controlled” by an “investment company” within the meaning of as defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder amended (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Fiserv Inc), Underwriting Agreement (Global Payments Inc)
Investment Company Act. The Company is not and, immediately after giving effect to the offering and sale of the Shares and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Bloom Energy Corp), Underwriting Agreement (Fox Factory Holding Corp)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register (i) as an “investment company” or an entity “controlled” by an “investment company” within the meaning of under the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”)) or (ii) as an entity “controlled” by an “investment company” within the meaning of the Investment Company Act.
Appears in 2 contracts
Samples: Underwriting Agreement (Retail Properties of America, Inc.), Underwriting Agreement (Retail Properties of America, Inc.)
Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be be, required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Passage BIO, Inc.), Underwriting Agreement (Passage BIO, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the immediate application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Grid Dynamics Holdings, Inc.), Underwriting Agreement (Grid Dynamics Holdings, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or nor will it be an entity “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 (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Getty Realty Corp /Md/), Underwriting Agreement (Getty Realty Corp /Md/)
Investment Company Act. The Company is not and, after giving effect to the offering transactions contemplated by this Agreement and sale of the Shares Units Agreements and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (South Jersey Industries Inc), Underwriting Agreement (South Jersey Industries Inc)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”)thereunder.
Appears in 2 contracts
Samples: Underwriting Agreement (Mind Technology, Inc), Underwriting Agreement (Mind Technology, Inc)
Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the Shares and the Private Placement Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, Prospectus will not be be, required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Apollo Residential Mortgage, Inc.), Underwriting Agreement (Apollo Commercial Real Estate Finance, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Notes and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Fidelity National Financial, Inc.), Underwriting Agreement (Fidelity National Financial, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”)thereunder.
Appears in 2 contracts
Samples: Underwriting Agreement (Laredo Petroleum, Inc.), Underwriting Agreement (Laredo Petroleum, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company will not be required to register as an “investment company” or an entity “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 (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Laredo Petroleum Holdings, Inc.), Underwriting Agreement (Laredo Petroleum Holdings, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Offered Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing General Disclosure Package and the Final Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of as defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Spinal Elements Holdings, Inc.), Underwriting Agreement (Spinal Elements Holdings, Inc.)
