Common use of Investment Company Act Clause in Contracts

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

Appears in 488 contracts

Samples: Underwriting Agreement (First Watch Restaurant Group, Inc.), Underwriting Agreement (Bowman Consulting Group Ltd.), Underwriting Agreement (First Watch Restaurant Group, Inc.)

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

Appears in 100 contracts

Samples: Underwriting Agreement (Inovio Pharmaceuticals, Inc.), Underwriting Agreement (Washington Trust Bancorp Inc), Underwriting Agreement (Lucid Group, Inc.)

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

Appears in 94 contracts

Samples: Underwriting Agreement (Triton International LTD), Subordinated Debentures Purchase Agreement (American Financial Group Inc), Underwriting Agreement (Apache Corp)

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

Appears in 30 contracts

Samples: Atm Equity Offering Sales Agreement (Cohen & Steers, Inc.), Atm Equity Offering Sales Agreement (Irobot Corp), Atm Equity Offering Sales Agreement (Annovis Bio, Inc.)

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

Appears in 18 contracts

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

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

Appears in 15 contracts

Samples: Underwriting Agreement (Globe Life Inc.), Underwriting Agreement (Tapestry, Inc.), Underwriting Agreement (Trimble Inc.)

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

Appears in 14 contracts

Samples: Underwriting Agreement (Seanergy Maritime Holdings Corp.), Underwriting Agreement (Seanergy Maritime Holdings Corp.), Underwriting Agreement (Seanergy Maritime Holdings Corp.)

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

Appears in 13 contracts

Samples: Equity Distribution Agreement (Colony Capital, Inc.), Equity Distribution Agreement (Colony Capital, Inc.), Equity Distribution Agreement (Colony Capital, Inc.)

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

Appears in 13 contracts

Samples: Underwriting Agreement (Colony NorthStar, Inc.), Underwriting Agreement (Colony Financial, Inc.), Underwriting Agreement (Colony Financial, Inc.)

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

Appears in 10 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 required, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 9 contracts

Samples: Underwriting Agreement (Trevi Therapeutics, Inc.), Underwriting Agreement (Ocugen, Inc.), At the Market Equity Offering Sales Agreement (PepGen Inc.)

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

Appears in 8 contracts

Samples: Underwriting Agreement (Danaher Corp /De/), Underwriting Agreement (Danaher Corp /De/), Underwriting Agreement (Danaher Corp /De/)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities and the Concurrent 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 required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 7 contracts

Samples: Underwriting Agreement (Equity One, Inc.), Underwriting Agreement (Equity One, Inc.), Underwriting Agreement (Equity One, Inc.)

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

Appears in 7 contracts

Samples: Underwriting Agreement (Shutterstock, Inc.), Underwriting Agreement (Intercept Pharmaceuticals Inc), Underwriting Agreement (GC Aesthetics PLC)

Investment Company Act. The Company is not requirednot, 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 requiredbe, required to register as an “investment company” under as such term is defined in the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 7 contracts

Samples: Purchase Agreement (Pebblebrook Hotel Trust), Purchase Agreement (Pebblebrook Hotel Trust), Purchase Agreement (Pebblebrook Hotel Trust)

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

Appears in 7 contracts

Samples: Underwriting Agreement (Tpi Composites, Inc), Underwriting Agreement (Bojangles', Inc.), Underwriting Agreement (Fleetmatics Group PLC)

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

Appears in 6 contracts

Samples: Underwriting Agreement (Oriental Financial Group Inc), Underwriting Agreement (Republic First Bancorp Inc), Underwriting Agreement (Republic First Bancorp Inc)

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

Appears in 6 contracts

Samples: Underwriting Agreement (Aytu Bioscience, Inc), Underwriting Agreement (Checkpoint Therapeutics, Inc.), Underwriting Agreement (Oramed Pharmaceuticals Inc.)

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

Appears in 6 contracts

Samples: Underwriting Agreement (Capricor Therapeutics, Inc.), Capital on Demand Sales Agreement (MEI Pharma, Inc.), Underwriting Agreement (Purple Innovation, Inc.)

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

Appears in 6 contracts

Samples: Underwriting Agreement (First Eagle Alternative Capital BDC, Inc.), Underwriting Agreement (First Eagle Alternative Capital BDC, Inc.), Underwriting Agreement (THL Credit, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus Final Prospectuses will not be required, to register as an “investment company” under or an entity “controlled” by an “investment company” as such terms are defined in the United States Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 6 contracts

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

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

Appears in 6 contracts

Samples: Underwriting Agreement (Theravance Biopharma, Inc.), Underwriting Agreement (Theravance Biopharma, Inc.), Underwriting Agreement (Theravance Biopharma, Inc.)

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

Appears in 5 contracts

Samples: Underwriting Agreement (Annovis Bio, Inc.), Underwriting Agreement (Claros Mortgage Trust, Inc.), Underwriting Agreement (Claros Mortgage Trust, Inc.)

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

Appears in 5 contracts

Samples: Underwriting Agreement (Cousins Properties Inc), Underwriting Agreement (Cousins Properties Inc), Underwriting Agreement (Cousins Properties Inc)

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

Appears in 5 contracts

Samples: Underwriting Agreement (Prothena Corp Public LTD Co), Underwriting Agreement (Prothena Corp PLC), Underwriting Agreement (Prothena Corp PLC)

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

Appears in 4 contracts

Samples: Underwriting Agreement (Seanergy Maritime Holdings Corp.), Underwriting Agreement (Seanergy Maritime Holdings Corp.), Underwriting Agreement (Box Ships Inc.)

Investment Company Act. The Company is not required, and upon after giving effect to the issuance offer 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 required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 4 contracts

Samples: Underwriting Agreement (Venator Materials PLC), Underwriting Agreement (Venator Materials PLC), Underwriting Agreement (Venator Materials PLC)

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

Appears in 4 contracts

Samples: Underwriting Agreement (Aeterna Zentaris Inc.), Underwriting Agreement (Aeterna Zentaris Inc.), Underwriting Agreement (Aeterna Zentaris Inc.)

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

Appears in 4 contracts

Samples: Underwriting Agreement (Tandem Diabetes Care Inc), Underwriting Agreement (Ship Finance International LTD), Underwriting Agreement (8x8 Inc /De/)

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

Appears in 4 contracts

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

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

Appears in 4 contracts

Samples: Underwriting Agreement (AG Mortgage Investment Trust, Inc.), Underwriting Agreement (AG Mortgage Investment Trust, Inc.), Underwriting Agreement (AG Mortgage Investment Trust, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities and the deposit with the Depositary of the Underlying Shares 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 required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 4 contracts

Samples: Underwriting Agreement (Orphazyme a/S), Underwriting Agreement (Delimobil Holding S.A.), Underwriting Agreement (Evotec SE)

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

Appears in 4 contracts

Samples: Underwriting Agreement (Pyxis Tankers Inc.), Underwriting Agreement (Pyxis Tankers Inc.), Underwriting Agreement (Pyxis Tankers Inc.)

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

Appears in 4 contracts

Samples: Underwriting Agreement (Noble Energy Inc), Underwriting Agreement (Noble Energy Inc), Underwriting Agreement (Noble Energy Inc)

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

Appears in 4 contracts

Samples: Purchase Agreement (Nv Energy, Inc.), Purchase Agreement (Nv Energy, Inc.), Purchase Agreement (Nv Energy, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities and the deposit with the Depositary of the Shares 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 required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 4 contracts

Samples: Underwriting Agreement (Cellectis S.A.), Underwriting Agreement (Cellectis S.A.), Underwriting Agreement (Gensight Biologics S.A.)

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

Appears in 4 contracts

Samples: At the Market Offering Agreement (Protalix BioTherapeutics, Inc.), Atm Equity Offering Sales Agreement (Protalix BioTherapeutics, Inc.), At the Market Offering Agreement (Protalix BioTherapeutics, Inc.)

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

Appears in 4 contracts

Samples: Purchase Agreement (Stifel Financial Corp), Purchase Agreement (Alleghany Corp /De), Purchase Agreement (Darwin Professional Underwriters Inc)

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

Appears in 4 contracts

Samples: Purchase Agreement (Horizon Technology Finance Corp), Purchase Agreement (Horizon Technology Finance Corp), Purchase Agreement (Golub Capital BDC, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities 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 required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 3 contracts

Samples: Underwriting Agreement (Western Asset Mortgage Capital Corp), Equity Distribution Agreement (Western Asset Mortgage Capital Corp), Underwriting Agreement (Western Asset Mortgage Capital Corp)

Investment Company Act. The Company is not required, and upon after giving effect to 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 required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 3 contracts

Samples: Underwriting Agreement (VectivBio Holding AG), Underwriting Agreement (VectivBio Holding AG), Underwriting Agreement (VectivBio Holding AG)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities and the deposit with the Depositary of the Underlying Ordinary Shares 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 required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 3 contracts

Samples: Underwriting Agreement (ASLAN Pharmaceuticals LTD), Underwriting Agreement (ASLAN Pharmaceuticals LTD), Underwriting Agreement (ASLAN Pharmaceuticals LTD)

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

Appears in 3 contracts

Samples: Underwriting Agreement (Paratek Pharmaceuticals, Inc.), Underwriting Agreement (Paratek Pharmaceuticals, Inc.), Underwriting Agreement (Paratek Pharmaceuticals, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale allotment 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 required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 3 contracts

Samples: Underwriting Agreement, Underwriting Agreement (Iterum Therapeutics LTD), Underwriting Agreement

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

Appears in 3 contracts

Samples: Underwriting Agreement (Newmarket Corp), Underwriting Agreement (Workday, Inc.), Underwriting Agreement (Teledyne Technologies Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities and Warrant Shares 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 required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 3 contracts

Samples: Underwriting Agreement (89bio, Inc.), Underwriting Agreement (89bio, Inc.), Underwriting Agreement (89bio, Inc.)

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

Appears in 3 contracts

Samples: Sales Agency Agreement (Community Healthcare Trust Inc), Sales Agency Agreement (Community Healthcare Trust Inc), Sales Agency Agreement (Community Healthcare Trust Inc)

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

Appears in 3 contracts

Samples: Underwriting Agreement (Netgear, Inc), Underwriting Agreement (Arlo Technologies, Inc.), Underwriting Agreement (Arlo Technologies, Inc.)

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

Appears in 3 contracts

Samples: Underwriting Agreement (TPG RE Finance Trust, Inc.), Underwriting Agreement (TPG RE Finance Trust, Inc.), Underwriting Agreement (TPG RE Finance Trust, Inc.)

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

Appears in 3 contracts

Samples: Underwriting Agreement (Armour Residential REIT, Inc.), Underwriting Agreement (Armour Residential REIT, Inc.), Underwriting Agreement (Armour Residential REIT, Inc.)

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

Appears in 3 contracts

Samples: Underwriting Agreement (Bitauto Holdings LTD), Underwriting Agreement (Qihoo 360 Technology Co LTD), Underwriting Agreement (Bitauto Holdings LTD)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Securities, and upon the exercise of the Warrants and the issuance of the Warrant Shares, 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 required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 3 contracts

Samples: Underwriting Agreement (MDNA Life Sciences, Inc.), Underwriting Agreement (MDNA Life Sciences, Inc.), Underwriting Agreement (MDNA Life Sciences, Inc.)

Investment Company Act. The Company is not requirednot, 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 requiredbe, required to register as an “investment company” under as such term is defined in the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

Samples: Purchase Agreement (Pebblebrook Hotel Trust), Purchase Agreement (Pebblebrook Hotel Trust)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Company Securities, if any, and the Confirmation 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 required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 2 contracts

Samples: Underwriting Agreement (Old National Bancorp /In/), Underwriting Agreement (Atlantic Union Bankshares Corp)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package or the Prospectus and the Prospectus consummation of the transactions contemplated by the Capped Call Confirmations will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

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

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities New Notes 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 required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 2 contracts

Samples: Dealer Manager Agreement (Conifer Holdings, Inc.), Placement Agent Agreement (Conifer Holdings, Inc.)

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

Appears in 2 contracts

Samples: Underwriting Agreement (Aeterna Zentaris Inc.), Underwriting Agreement (Ym Biosciences Inc)

Investment Company Act. The Neither the Company nor Senseonics is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

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

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described under “Use of Proceeds” in the Registration Statement, the 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 such terms under the Investment Company Act of 1940, as amended (amended, and the “1940 Act”)rules and regulations of the Commission thereunder.

Appears in 2 contracts

Samples: Underwriting Agreement (Chicago Atlantic Real Estate Finance, Inc.), Underwriting Agreement (AFC Gamma, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Offered Securities and the deposit with the Depositary of the Underlying ADS Shares 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 required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

Samples: Underwriting Agreement (Biophytis SA), Underwriting Agreement (Biophytis SA)

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

Appears in 2 contracts

Samples: Underwriting Agreement (THL Credit, Inc.), Purchase Agreement (THL Credit, Inc.)

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Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Notes as contemplated 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 required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 2 contracts

Samples: Distribution Agreement (American Honda Finance Corp), Distribution Agreement (American Honda Finance Corp)

Investment Company Act. The Company is not required, and upon solely after giving effect to 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 required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

Samples: Underwriting Agreement (Validus Holdings LTD), Underwriting Agreement (Validus Holdings LTD)

Investment Company Act. The Company is not requirednot, 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 requiredcause it to be, required to register as an “investment company” under as such term is defined in the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

Samples: Underwriting Agreement (Inland Real Estate Corp), Purchase Agreement (Inland Real Estate Corp)

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

Appears in 2 contracts

Samples: Underwriting Agreement (Alpha Cognition Inc.), Underwriting Agreement (Alpha Cognition Inc.)

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

Appears in 2 contracts

Samples: Underwriting Agreement (Noranda Aluminum Holding CORP), Purchase Agreement (Noranda Aluminum Holding CORP)

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

Appears in 2 contracts

Samples: Atm Equity Offering Sales Agreement (REGENXBIO Inc.), Sales Agreement (REGENXBIO Inc.)

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

Appears in 2 contracts

Samples: Purchase Agreement (Ucbh Holdings Inc), Underwriting Agreement (Kla Tencor Corp)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus Final Prospectuses will not be required, to register seek an order permitting registration as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 2 contracts

Samples: Underwriting Agreement (North American Palladium LTD), Underwriting Agreement (North American Palladium LTD)

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

Appears in 2 contracts

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

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

Appears in 2 contracts

Samples: Underwriting Agreement (Idenix Pharmaceuticals Inc), Underwriting Agreement (Idenix Pharmaceuticals Inc)

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

Appears in 2 contracts

Samples: Purchase Agreement (Colony Financial, Inc.), Purchase Agreement (Colony Financial, Inc.)

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

Appears in 2 contracts

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

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

Appears in 2 contracts

Samples: Underwriting Agreement (Home Properties Inc), Underwriting Agreement (Home Properties Inc)

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

Appears in 2 contracts

Samples: Underwriting Agreement (Gci Liberty, Inc.), Underwriting Agreement (LendingTree, Inc.)

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

Appears in 2 contracts

Samples: Underwriting Agreement (TPG RE Finance Trust, Inc.), Underwriting Agreement (TPG RE Finance Trust, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Offered ADSs 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 required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

Samples: Underwriting Agreement (Pampa Energy Inc.), Underwriting Agreement (Forward Pharma a/S)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities 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 required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

Samples: Underwriting Agreement (Western Asset Mortgage Capital Corp), Underwriting Agreement (Western Asset Mortgage Capital Corp)

Investment Company Act. The Company Neither of the Transaction Entities is not required, and upon the issuance and sale of the Securities as contemplated herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Underwriting Agreement (JBG SMITH Properties)

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

Appears in 1 contract

Samples: Underwriting Agreement (CannTrust Holdings Inc.)

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

Appears in 1 contract

Samples: Purchase Agreement (Theravance Inc)

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

Appears in 1 contract

Samples: Senior Notes Purchase Agreement (Bj Services Co)

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

Appears in 1 contract

Samples: Underwriting Agreement (American Capital Agency Corp)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus Final Offering Memorandum (including the entry into and performance by the Company under the Call Spread Confirmations) will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Purchase Agreement (Patrick Industries Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of Securities by the Securities Company 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 required, to register as an “investment company” under as such term is defined in the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 1 contract

Samples: Underwriting Agreement (CLARIVATE PLC)

Investment Company Act. The Company is not required, and immediately 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 required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Underwriting Agreement (Poseida Therapeutics, Inc.)

Investment Company Act. The Company is not requirednot, and nor 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 requiredbe, required to register as an “investment company” under within the meaning of the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Selling Agent Agreement (Paccar Financial Corp)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Company Securities, if any, and the Confirmation 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 required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Underwriting Agreement (Umb Financial Corp)

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

Appears in 1 contract

Samples: Equity Distribution Agreement (National Health Investors Inc)

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

Appears in 1 contract

Samples: Underwriting Agreement (RAIT Financial Trust)

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

Appears in 1 contract

Samples: Purchase Agreement (Ceradyne Inc)

Investment Company Act. The Company is not required, and upon after giving effect to the transactions contemplated by the Capped Call Confirmations, 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 Prospectus, will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Underwriting Agreement (Neogenomics Inc)

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

Appears in 1 contract

Samples: At the Market Equity Offering Sales Agreement (GTX Inc /De/)

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

Appears in 1 contract

Samples: Underwriting Agreement (Genfit S.A.)

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

Appears in 1 contract

Samples: Underwriting Agreement (Cynapsus Therapeutics Inc.)

Investment Company Act. The Company is not required, and immediately 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 required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 1 contract

Samples: Underwriting Agreement (Trevi Therapeutics, Inc.)

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

Appears in 1 contract

Samples: Sales Agency Agreement (Banc of California, Inc.)

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

Appears in 1 contract

Samples: Purchase Agreement (Alma Maritime LTD)

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

Appears in 1 contract

Samples: Underwriting Agreement (Paragon Shipping Inc.)

Investment Company Act. The Neither the Company is not nor its Subsidiaries are required, and upon the issuance and sale of the Securities, the Private Placement Securities and the Warrant Shares 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 required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Underwriting Agreement (Western Asset Mortgage Capital Corp)

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