Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 161 contracts
Samples: Underwriting Agreement (Si International Inc), Purchase Agreement (Sangstat Medical Corp), Purchase Agreement (Gb&t Bancshares Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the General Disclosure Package and the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 75 contracts
Samples: Underwriting Agreement (Radian Group Inc), Underwriting Agreement (Radian Group Inc), Underwriting Agreement (Radian Group Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectuses will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 50 contracts
Samples: u.s. Purchase Agreement (99 Cents Only Store), International Purchase Agreement (Rayovac Corp), International Purchase Agreement (Mih LTD)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Statutory Prospectus and the Prospectus under “Use of Proceeds” will not be, an "“investment company" or an entity "controlled" by an "investment company" ” as such terms are term is defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 49 contracts
Samples: Purchase Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Disclosure Package and the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 32 contracts
Samples: Underwriting Agreement (Wisconsin Public Service Corp), Underwriting Agreement (Wisconsin Electric Power Co), Underwriting Agreement (Wec Energy Group, Inc.)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 29 contracts
Samples: Underwriting Agreement (MGM Resorts International), Underwriting Agreement (MGM Mirage), Underwriting Agreement (Wisconsin Electric Power Co)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 27 contracts
Samples: Underwriting Agreement (Finwise Bancorp), Underwriting Agreement (Merchants Bancorp), Underwriting Agreement (BayCom Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Offering Memorandum will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 26 contracts
Samples: Annual Report, Purchase Agreement (Idec Pharmaceuticals Corp / De), Purchase Agreement (Bally Total Fitness Holding Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the receipt and application of the net proceeds therefrom as described in the General Disclosure Package and the Prospectus under the caption “Use Of Proceeds,” will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 24 contracts
Samples: Underwriting Agreement (Ugi Corp /Pa/), Underwriting Agreement (DENNY'S Corp), Underwriting Agreement (Immunomedics Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are term is defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 22 contracts
Samples: Underwriting Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Underwritten Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 21 contracts
Samples: Underwriting Agreement (Criimi Mae Inc), Underwriting Agreement (Criimi Mae Inc), Underwriting Agreement (Liberty Financial Capital Trust Ii)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the General Disclosure Package and the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act")amended.
Appears in 21 contracts
Samples: Underwriting Agreement (Origin Bancorp, Inc.), Underwriting Agreement (TriState Capital Holdings, Inc.), Underwriting Agreement (TriState Capital Holdings, Inc.)
Investment Company Act. The Company is not, and upon the ---------------------- issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 20 contracts
Samples: Purchase Agreement (Euronet Services Inc), Underwriting Agreement (Merkert American Corp), Underwriting Agreement (Yuasa Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "“investment company" or an entity "controlled" by an "investment company" as such terms are defined in ” within the meaning of the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 20 contracts
Samples: Underwriting Agreement (Autozone Inc), Underwriting Agreement (Autozone Inc), Underwriting Agreement (Autozone Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 “Investment Company Act"”).
Appears in 20 contracts
Samples: Underwriting Agreement (Valley National Bancorp), Underwriting Agreement (Berkshire Hills Bancorp Inc), Underwriting Agreement (Amalgamated Financial Corp.)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the Disclosure Package and the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act")amended.
Appears in 19 contracts
Samples: Underwriting Agreement (Tucson Electric Power Co), Underwriting Agreement (Tucson Electric Power Co), Underwriting Agreement (Tucson Electric Power Co)
Investment Company Act. The Company is not, and upon after giving effect to the issuance offering and sale of the Securities as herein contemplated Shares and the application of the net proceeds therefrom thereof as described in the Time of Sale Prospectus and the Prospectus will not be, required to register as an "“investment company" or an entity "controlled" by an "investment company" ” as such terms are term is defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 19 contracts
Samples: Underwriting Agreement (JIADE LTD), Underwriting Agreement (JIADE LTD), Underwriting Agreement (JIADE LTD)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 17 contracts
Samples: Purchase Agreement (Shopko Stores Inc), Underwriting Agreement (Viacom Inc), Purchase Agreement (Solectron Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the receipt and application of the net proceeds therefrom as described in the General Disclosure Package and the Prospectus under the caption “Use of Proceeds,” will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 16 contracts
Samples: Underwriting Agreement (SiriusPoint LTD), Underwriting Agreement (Enstar Group LTD), Underwriting Agreement (Avid Bioservices, Inc.)
Investment Company Act. The Company is not, and upon the ---------------------- issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectuses will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 16 contracts
Samples: International Purchase Agreement (Merkert American Corp), u.s. Purchase Agreement (Metro-Goldwyn-Mayer Inc), u.s. Purchase Agreement (CDW Holding Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Time of Sale Information and the Prospectus will not be, an "“investment company" or an entity "controlled" by an "investment company" as such terms are defined in ” within the meaning of the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 14 contracts
Samples: Underwriting Agreement (Viacom Inc.), Underwriting Agreement (Viacom Inc.), Underwriting Agreement (Viacom Inc.)
Investment Company Act. The Company is not, and and, upon the issuance and sale of the Securities Notes as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectus, will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 14 contracts
Samples: Underwriting Agreement (Tampa Electric Co), Underwriting Agreement (Tampa Electric Co), Underwriting Agreement (Tampa Electric Co)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Notes as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 12 contracts
Samples: Underwriting Agreement (Hospitality Properties Trust), Distribution Agreement (Cabot Corp), Distribution Agreement (Enron Corp/Or/)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Disclosure Package and the Prospectus, will not be, be required to register as an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 “Investment Company Act"”). Neither the Operating Partnership nor any of the subsidiaries of the Company is an “investment company” as defined in the Investment Company Act.
Appears in 11 contracts
Samples: Underwriting Agreement (Arbor Realty Trust Inc), Underwriting Agreement (Arbor Realty Trust Inc), Underwriting Agreement (Arbor Realty Trust Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the receipt and application of the net proceeds therefrom as described in the General Disclosure Package and the Prospectus under the caption “Use Of Proceeds” will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” (as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 10 contracts
Samples: Underwriting Agreement (Spire Inc), Underwriting Agreement (Spire Missouri Inc), Underwriting Agreement (Spire Inc)
Investment Company Act. The Company is notnot and, and upon after giving effect to the issuance offering and sale of the Securities as herein contemplated Shares and the application of the net proceeds therefrom thereof as described in the Prospectus Prospectus, will not be, be an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended amended, and the rules and regulations of the Commission thereunder (the collectively, "1940 Investment Company Act").
Appears in 9 contracts
Samples: Underwriting Agreement (TNS Inc), Underwriting Agreement (TNS Inc), Underwriting Agreement (Blackbaud Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Preference Securities, the MG Securities and the Note Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Preference Offering Memorandum will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 9 contracts
Samples: Purchase Agreement (Chase Rhoda L/), Purchase Agreement (Entertainment Inc), Purchase Agreement (Polish Investments Holding Lp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities from time to time as herein contemplated in this Agreement and in the Alternative Distribution Agreements and the application of the net proceeds Net Proceeds therefrom as described in the Registration Statement and the Prospectus will not be, an "“investment company" or an entity "controlled" by an "investment company" ” as such terms are term is defined in the Investment Company Act of 1940, as amended (the "1940 “Investment Company Act"”).
Appears in 9 contracts
Samples: Equity Distribution Agreement (Pebblebrook Hotel Trust), Equity Distribution Agreement (Pebblebrook Hotel Trust), Equity Distribution Agreement (Pebblebrook Hotel Trust)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application receipt of the net proceeds therefrom as described in the General Disclosure Package and the Prospectus under the caption “Use Of Proceeds,” will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 9 contracts
Samples: Underwriting Agreement (Zogenix, Inc.), Underwriting Agreement (Zogenix, Inc.), Underwriting Agreement (Zogenix, Inc.)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Disclosure Package and the Prospectus, will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 9 contracts
Samples: Underwriting Agreement (Arbor Realty Trust Inc), Underwriting Agreement (Arbor Realty Trust Inc), Underwriting Agreement (Arbor Realty Trust Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the General Disclosure Package and the Prospectus under the caption “Use Of Proceeds,” will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 9 contracts
Samples: Underwriting Agreement (Tracon Pharmaceuticals, Inc.), Underwriting Agreement (Home Loan Servicing Solutions, Ltd.), Underwriting Agreement (Insys Therapeutics, Inc.)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus under “Use of Proceeds” will not be, an "“investment company" or an entity "controlled" by an "investment company" ” as such terms are term is defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 8 contracts
Samples: Purchase Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the General Disclosure Package and the Final Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 7 contracts
Samples: Underwriting Agreement (First Niagara Financial Group Inc), Underwriting Agreement (First Niagara Financial Group Inc), Underwriting Agreement (Univest Corp of Pennsylvania)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectus, will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 7 contracts
Samples: Purchase Agreement (Pepco Holdings Inc), Purchase Agreement (Pepco Holdings Inc), Purchase Agreement (Delmarva Power & Light Co /De/)
Investment Company Act. The Company is notnot and, and upon after giving effect to the issuance offering and sale of the Securities as herein contemplated Shares and the application of the net proceeds therefrom thereof as described in the Prospectus Prospectus, will not be, be an "“investment company" ” or an entity "“controlled" ” by an "“investment company" as such terms are defined in ” within the meaning of the Investment Company Act of 1940, as amended amended, and the rules and regulations of the Commission thereunder (the "1940 collectively, “Investment Company Act"”).
Appears in 7 contracts
Samples: Underwriting Agreement (TNS Inc), Underwriting Agreement (GTCR Fund Vii Lp), Underwriting Agreement (GTCR Fund Vii Lp)
Investment Company Act. The Company is not, and upon immediately after giving effect to the issuance offering and sale of the Securities as herein contemplated Offered Shares on the date hereof and the application of the net proceeds therefrom thereof as described in the Prospectus will not be, an "“investment company" or an entity "controlled" by an "investment company" ” (as such terms are term is defined in under the Investment Company Act of 1940, as amended (the "“1940 Act"”)) that is registered or required to be registered under the 1940 Act.
Appears in 6 contracts
Samples: Underwriting Agreement (Exact Sciences Corp), Underwriting Agreement (Exact Sciences Corp), Underwriting Agreement (Exact Sciences Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectuses will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 ActACT").
Appears in 6 contracts
Samples: International Purchase Agreement (Exact Corp), u.s. Purchase Agreement (Mih LTD), u.s. Purchase Agreement (Mih LTD)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 6 contracts
Samples: Underwriting Agreement (Nextlink Communications Inc / De), Underwriting Agreement (Xo Communications Inc), Underwriting Agreement (Nextlink Communications LLC)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectus, will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 6 contracts
Samples: Underwriting Agreement (Gramercy Capital Corp), Underwriting Agreement (Arbor Realty Trust Inc), Underwriting Agreement (Cytec Industries Inc/De/)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 6 contracts
Samples: Underwriting Agreement (Hospitality Properties Trust), Underwriting Agreement (Hospitality Properties Trust), Underwriting Agreement (Hospitality Properties Trust)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Disclosure Package and the Prospectus will not be, an "“investment company" ” or an entity "a company “controlled" ” by an "“investment company" as such terms are defined in ” which is required to be registered under the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 6 contracts
Samples: Purchase Agreement (Puget Sound Energy Inc), Purchase Agreement (Puget Sound Energy Inc), Purchase Agreement (Puget Sound Energy Inc)
Investment Company Act. The Company is not, and upon after giving effect to the issuance offering and sale of the Offered Securities as herein contemplated and the application of the net proceeds therefrom thereof as described in the Time of Sale Prospectus and the Prospectus will not be, required to register as an "“investment company" or an entity "controlled" by an "investment company" ” as such terms are term is defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 6 contracts
Samples: Underwriting Agreement (Nature Wood Group LTD), Underwriting Agreement (Nature Wood Group LTD), Underwriting Agreement (Burning Rock Biotech LTD)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the General Disclosure Package and the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act")amended.
Appears in 6 contracts
Samples: Underwriting Agreement (Veritex Holdings, Inc.), Underwriting Agreement (Spirit of Texas Bancshares, Inc.), Underwriting Agreement (Ameris Bancorp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Time of Sale Prospectus and the Prospectus will not be, an "“investment company" or an entity "controlled" by an "investment company" as such terms are defined in ” within the meaning of the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 6 contracts
Samples: Underwriting Agreement (CBS Corp), Underwriting Agreement (CBS Corp), Underwriting Agreement (CBS Corp)
Investment Company Act. The Company Neither of the Companies is notand, and upon the issuance and sale of the Securities Units as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectuses, will not be, be an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 6 contracts
Samples: International Purchase Agreement (Dura Pharmaceuticals Inc/Ca), International Purchase Agreement (Dura Pharmaceuticals Inc/Ca), u.s. Purchase Agreement (Dura Pharmaceuticals Inc/Ca)
Investment Company Act. The Company is not, and upon after giving effect to the issuance offering and sale of the Securities as herein contemplated and the application of the net proceeds therefrom thereof as described in the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ”, as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act")amended.
Appears in 5 contracts
Samples: Underwriting Agreement (Tyson Foods, Inc.), Underwriting Agreement (Tyson Foods Inc), Underwriting Agreement (Tyson Foods Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act")amended.
Appears in 5 contracts
Samples: Purchase Agreement (Bally Total Fitness Holding Corp), Underwriting Agreement (KCS Energy Inc), Purchase Agreement (Carriage Services Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Notes as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 5 contracts
Samples: Distribution Agreement (Toyota Motor Credit Corp), Distribution Agreement (Toyota Motor Credit Corp), Distribution Agreement (Toyota Motor Credit Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Notes as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the ("1940 Act").
Appears in 5 contracts
Samples: Distribution Agreement (Sundstrand Corp /De/), Distribution Agreement (Puget Sound Energy Inc), Distribution Agreement (General Mills Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Notes as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 5 contracts
Samples: Distribution Agreement (Homeside Lending Inc), Distribution Agreement (Homeside Lending Inc), Purchase Agreement (Province Healthcare Co)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Pre-Pricing Prospectus and the Prospectus under the caption “Use of Proceeds,” will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 5 contracts
Samples: Underwriting Agreement (Ares Commercial Real Estate Corp), Underwriting Agreement (Ares Commercial Real Estate Corp), Underwriting Agreement (Ares Commercial Real Estate Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 “Investment Company Act"”).
Appears in 4 contracts
Samples: Underwriting Agreement (Computer Sciences Corp), Underwriting Agreement (Universal Health Services Inc), Underwriting Agreement (Universal Health Services Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Offered Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 4 contracts
Samples: Underwriting Agreement (Jabil Circuit Inc), Underwriting Agreement (Jabil Circuit Inc), Terms Agreement (Jabil Circuit Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Shares as herein contemplated and the receipt and application of the net proceeds Net Proceeds (as defined in Section 3(a)(v)) therefrom as described in the U.S. Prospectus under the caption “Use Of Proceeds,” will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 4 contracts
Samples: Equity Distribution Agreement (IMV Inc.), Equity Distribution Agreement (IMV Inc.), Equity Distribution Agreement (IMV Inc.)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Notes as herein contemplated and the application of the net proceeds therefrom as described in the Disclosure Package and the Prospectus will not be, an "“investment company" or an entity "controlled" by an "investment company" as such terms are defined in ” within the meaning of the Investment Company Act of 1940, as amended (the "1940 Act")amended.
Appears in 4 contracts
Samples: Underwriting Agreement (McCormick & Co Inc), Underwriting Agreement (McCormick & Co Inc), Underwriting Agreement (McCormick & Co Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectuses will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are term is defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 4 contracts
Samples: International Purchase Agreement (Cox Communications Inc /De/), u.s. Underwriting Agreement (Ctrip Com International LTD), International Purchase Agreement (Ctrip Com International LTD)
Investment Company Act. The Company is not, and upon immediately after giving effect to the issuance offering and sale of the Securities as herein contemplated on the date hereof and the application of the net proceeds therefrom thereof as described in the Prospectus will not be, an "“investment company" or an entity "controlled" by an "investment company" ” (as such terms are term is defined in under the Investment Company Act of 1940, as amended (the "“1940 Act"”)) that is registered or required to be registered under the 1940 Act.
Appears in 4 contracts
Samples: Underwriting Agreement (Exact Sciences Corp), Underwriting Agreement (Exact Sciences Corp), Underwriting Agreement (Exact Sciences Corp)
Investment Company Act. The Company is not, and upon the ---------------------- issuance and sale of the Underwritten Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 4 contracts
Samples: Purchase Agreement (Autozone Inc), Universal Shelf Underwriting Agreement (Federal Mogul Corp), Purchase Agreement (Argyle Television Inc)
Investment Company Act. The Company is not, not and upon the issuance and sale of the Securities Notes as herein contemplated and the application of the net proceeds therefrom as described in the General Disclosure Package and the Prospectus will not be, an "“investment company" or an entity "controlled" by an "investment company" as such terms are defined in ” within the meaning of the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 4 contracts
Samples: Underwriting Agreement (Travelcenters of America LLC), Underwriting Agreement (Travelcenters of America LLC), Underwriting Agreement (Travelcenters of America LLC)
Investment Company Act. The Company is not, and upon ---------------------- the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 4 contracts
Samples: Purchase Agreement (Turner Paul H), Purchase Agreement (Simons Stephen W), Purchase Agreement (Oratec Interventions Inc)
Investment Company Act. The Company is not, and upon the ---------------------- issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectuses will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").. --------
Appears in 4 contracts
Samples: u.s. Purchase Agreement (Teleport Communications Group Inc), International Purchase Agreement (Advanstar Inc), u.s. Purchase Agreement (Opentv Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Final Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are term is defined in the Investment Company Act of 1940, as amended (the "1940 Investment Company Act").
Appears in 4 contracts
Samples: Underwriting Agreement (Cox Communications Inc /De/), Underwriting Agreement (Cox Communications Inc /De/), Underwriting Agreement (Cox Radio Inc)
Investment Company Act. The Company is not, not and upon the issuance and sale of the Securities Certificates as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act"). The Trust Fund is not required to be registered as an "investment company" under the 1940 Act.
Appears in 4 contracts
Samples: Underwriting Agreement (Commercial Mortgage Pass THR Cert Ser 1998-C2), Underwriting Agreement (Merrill Lynch Mortgage Investors Inc), Underwriting Agreement (Mortgage Pass Through Cert Series 1998-C3)
Investment Company Act. The Company is not, and nor upon the issuance and sale of the Public Securities as contemplated herein contemplated and the application of the net proceeds therefrom as described in the Preliminary Prospectus, the Prospectus and the Registration Statement under the caption “Estimated Use of Proceeds”, will not the Company be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” (as such terms are defined in the Investment Company Act of 1940, as amended (amended, and the "1940 Act"rules and regulations promulgated thereunder).
Appears in 4 contracts
Samples: Underwriting Agreement (Movano Inc.), Underwriting Agreement (Movano Inc.), Underwriting Agreement (TFF Pharmaceuticals, Inc.)
Investment Company Act. The Company is not, and upon the issuance ---------------------- and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectuses will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 4 contracts
Samples: International Purchase Agreement (Tuesday Morning Corp/De), u.s. Purchase Agreement (Fox Entertainment Group Inc), International Purchase Agreement (Ixl Enterprises Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the receipt and application of the net proceeds therefrom as described in the General Disclosure Package and the Prospectus under the caption “Use Of Proceeds” will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” (each as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 4 contracts
Samples: Underwriting Agreement (Spire Inc), Underwriting Agreement (Spire Inc), Underwriting Agreement (Spire Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Offered Shares as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act")amended.
Appears in 4 contracts
Samples: Underwriting Agreement (Double Eagle Petroleum Co), Underwriting Agreement (Parallel Petroleum Corp), Underwriting Agreement (Double Eagle Petroleum Co)
Investment Company Act. The Company is notnot and, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectus, will not be, be an "“investment company" or an entity "controlled" by an "investment company" as such terms are defined in ” under the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 4 contracts
Samples: Underwriting Agreement (FriendFinder Networks Inc.), Underwriting Agreement (FriendFinder Networks Inc.), Underwriting Agreement (FriendFinder Networks Inc.)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Notes as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the "1940 Act")amended.
Appears in 4 contracts
Samples: Distribution Agreement (Old National Bancorp /In/), Distribution Agreement (Ing Usa Annuity & Life Insurance Co), Distribution Agreement (Old National Bancorp /In/)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Disclosure Package and the Prospectus, will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 3 contracts
Samples: Underwriting Agreement (Autonation, Inc.), Underwriting Agreement (Autonation, Inc.), Underwriting Agreement (Autonation, Inc.)
Investment Company Act. The Company is not, and upon the ---------------------- issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Offering Memorandum will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 3 contracts
Samples: Purchase Agreement (Transwitch Corp /De), Purchase Agreement (Pogo Producing Co), Purchase Agreement (California Steel Industries Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 ActACT").
Appears in 3 contracts
Samples: Purchase Agreement (Penn National Gaming Inc), Purchase Agreement (Alliant Energy Corp), Purchase Agreement (Republic Airways Holdings Inc)
Investment Company Act. The Company is not, not and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 3 contracts
Samples: Purchase Agreement (Potomac Electric Power Co), Purchase Agreement (Potomac Electric Power Co), Underwriting Agreement (Atlantic City Electric Co)
Investment Company Act. The Company is not, and upon the issuance and sale of the Underwritten Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity a company "controlled" by an "investment company" as such terms are defined in company within the meaning of the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 3 contracts
Samples: Underwriting Agreement (United States Cellular Corp), Underwriting Agreement (United States Cellular Corp), Underwriting Agreement (United States Cellular Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Offering Memorandum will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").;
Appears in 3 contracts
Samples: Purchase Agreement (Nextlink Communications LLC), Purchase Agreement (Nextlink Communications LLC), Purchase Agreement (Nextlink Communications Inc / De)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as contemplated herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 3 contracts
Samples: Underwriting Agreement (Taylor Capital Group Inc), Underwriting Agreement (Taylor Capital Group Inc), Underwriting Agreement (Emc Insurance Group Inc)
Investment Company Act. The Company is not, and upon after giving effect to the issuance offering and sale of the Securities as herein contemplated hereunder and the application of the net proceeds therefrom from such sale as described in the Prospectus Prospectus, and for so long any Buyer holds any Securities, will not be, be an "investment company" or an entity "controlled" by an "investment company" as within the meaning of such terms are defined in term under the Investment Company Act of 1940, 1940 as amended (the "1940 Act"), and the rules and regulations of the SEC thereunder.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Adeona Pharmaceuticals, Inc.), Securities Purchase Agreement (Adeona Pharmaceuticals, Inc.), Securities Purchase Agreement (Lucas Energy, Inc.)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Disclosure Package and the Prospectus, will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 “Investment Company Act"”). Neither the Operating Partnership nor any of the subsidiaries of the Company is an “investment company” as defined in the Investment Company Act.
Appears in 3 contracts
Samples: Underwriting Agreement (Arbor Realty Trust Inc), Underwriting Agreement (Arbor Realty Trust Inc), Underwriting Agreement (Arbor Realty Trust Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in each of the Commitment Prospectus and the Prospectus will not be, an "investment company" or an entity "controlledaffiliated person" by of, or "promoter" or "principal underwriter" for, an "investment company" as such terms are defined in company within the meaning of the Investment Company Act of 1940, as amended (the "1940 Act")amended.
Appears in 3 contracts
Samples: Underwriting Agreement (Bidz.com, Inc.), Underwriting Agreement (Bidz.com, Inc.), Underwriting Agreement (Bidz.com, Inc.)
Investment Company Act. The Company believes that it is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectuses, will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 3 contracts
Samples: International Purchase Agreement (Iridium LLC), u.s. Purchase Agreement (Iridium LLC), International Purchase Agreement (Iridium LLC)
Investment Company Act. The Company is not, and upon the issuance and sale of the Underwritten Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "“investment company" ” or an entity "a company “controlled" ” by an "investment company" as such terms are defined in company within the meaning of the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 3 contracts
Samples: Underwriting Agreement (Telephone & Data Systems Inc /De/), Underwriting Agreement (Telephone & Data Systems Inc /De/), Underwriting Agreement (United States Cellular Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Underwritten Securities as contemplated herein contemplated and in the applicable Terms Agreement and the application of the net proceeds therefrom as described in the Prospectus will not be, an "“investment company" or an entity "controlled" by an "investment company" as such terms are defined in ” within the meaning of the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 3 contracts
Samples: Underwriting Agreement (Ambac Financial Group Inc), Underwriting Agreement (Ambac Financial Group Inc), Underwriting Agreement (Ambac Financial Group Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Disclosure Package and the Final Prospectus, will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 3 contracts
Samples: Underwriting Agreement (Cytec Industries Inc/De/), Underwriting Agreement (Cytec Industries Inc/De/), Underwriting Agreement (Cytec Industries Inc/De/)
Investment Company Act. The Company is not, and upon the issuance and sale of the Preference Securities, the Chase Securities and the Note Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Preference Offering Memorandum will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 3 contracts
Samples: Purchase Agreement (Entertainment Inc), Purchase Agreement (Entertainment Inc), Purchase Agreement (Entertainment Inc)
Investment Company Act. The Company is notnot and, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectus, will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 3 contracts
Samples: Underwriting Agreement (Great Plains Energy Inc), Underwriting Agreement (Kansas City Power & Light Co), Underwriting Agreement (Great Plains Energy Inc)
Investment Company Act. The Company is not, and upon and, after giving effect to the issuance offering and sale of the Securities as herein Units contemplated hereunder and the application of the net proceeds therefrom from such sale as described in the Prospectus Prospectus, will not be, be an "“investment company" or an entity "controlled" by an "investment company" as ” within the meaning of such terms are defined in term under the Investment Company Act of 1940, as amended amended, and the rules and regulations promulgated thereunder (the "“1940 Act")”) and, prior to a Business Combination, will conduct its business in a manner so that it will not become subject to the 1940 Act.
Appears in 3 contracts
Samples: Underwriting Agreement (Trian Acquisition I Corp.), Underwriting Agreement (Trian Acquisition I Corp.), Underwriting Agreement (Trian Acquisition I Corp.)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities to the Agents as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus under the caption “Use of Proceeds,” the Company will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 3 contracts
Samples: Equity Distribution Agreement (Hawaiian Electric Co Inc), Equity Distribution Agreement (American States Water Co), Equity Distribution Agreement (WGL Holdings Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Trust Preferred Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 3 contracts
Samples: Purchase Agreement (Ultramar Diamond Shamrock Corp), Purchase Agreement (Merrill Lynch Preferred Capital Trust Ii), Purchase Agreement (Merrill Lynch Preferred Capital Trust Iv)
Investment Company Act. The Company is not, and upon the issuance and sale of the Underwritten Securities as contemplated herein contemplated and in the applicable Terms Agreement and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 2 contracts
Samples: Underwriting Agreement (Ambac Financial Group Inc), Underwriting Agreement (Ambac Financial Group Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Underwritten Debt Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 2 contracts
Samples: Underwriting Agreement (Illinova Corp), Underwriting Agreement (Aliant Communications Inc)
Investment Company Act. The Company is not, and upon the issuance ---------------------- and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 2 contracts
Samples: Purchase Agreement (Firstamerica Automotive Inc /De/), Purchase Agreement (Microstrategy Inc)
Investment Company Act. The Company is not, and upon the issuance and sale (as applicable) of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Final Prospectus, will not be, be required to register as an "“investment company" or an entity "controlled" by an "investment company" ” as such terms are term is defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 2 contracts
Samples: Underwriting Agreement (Odyssey Re Holdings Corp), Underwriting Agreement (Odyssey Re Holdings Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectuses will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act"); the issuance and sale of the Securities as herein contemplated will not violate the 1940 Act or the rules and regulations thereunder.
Appears in 2 contracts
Samples: International Purchase Agreement (Comdisco Inc), u.s. Purchase Agreement (Comdisco Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as contemplated herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 2 contracts
Samples: Underwriting Agreement (Direct General Corp), Underwriting Agreement (Direct General Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Final Prospectus will not be, required to be registered as an "“investment company" or an entity "controlled" by an "investment company" as such terms are defined in ” under the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 2 contracts
Samples: Underwriting Agreement (Utstarcom Inc), Underwriting Agreement (Utstarcom Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Notes as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Disclosure Package and the Prospectus, will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”). Neither the Operating Partnership nor any of the subsidiaries of the Company is an “investment company” as defined in the 1940 Act.
Appears in 2 contracts
Samples: Underwriting Agreement (Arbor Realty Trust Inc), Underwriting Agreement (Arbor Realty Trust Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom from the sale of the Securities substantially as described in the Prospectus Prospectuses will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 2 contracts
Samples: International Purchase Agreement (Sunstone Hotel Investors Inc), u.s. Purchase Agreement (Sunstone Hotel Investors Inc)
Investment Company Act. The Company is not, and nor upon the issuance and sale of the Public Securities as contemplated herein contemplated and the application of the net proceeds therefrom as described in the Preliminary Prospectus, the Prospectus and the Registration Statement under the caption “Use of Proceeds”, will not the Company be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” (as such terms are defined in the Investment Company Act of 1940, as amended (amended, and the "1940 Act"rules and regulations promulgated thereunder).
Appears in 2 contracts
Samples: Underwriting Agreement (Atomera Inc), Underwriting Agreement (Atomera Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Underwritten Securities as herein contemplated and the application of the net proceeds therefrom as described in the General Disclosure Package and the Prospectus will not bebe required to register as, an "investment company" or an entity "controlled" by an "investment company," as such terms are term is defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 2 contracts
Samples: Underwriting Agreement (Public Service Enterprise Group Inc), Underwriting Agreement (Public Service Enterprise Group Inc)
Investment Company Act. The Company is not, and nor upon the issuance and sale of the Public Securities as contemplated herein contemplated and the application of the net proceeds therefrom as described in the Preliminary Prospectus, the Prospectus and the Registration Statement under the caption “Use of Proceeds”, will not the Company be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” (as such terms are defined in the Investment Company Act of 1940, as amended (amended, and the "1940 Act")rules and regulations promulgated thereunder.
Appears in 2 contracts
Samples: Underwriting Agreement (Aqua Metals, Inc.), Underwriting Agreement (Aqua Metals, Inc.)