Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 3696 contracts
Samples: Securities Purchase Agreement (SEALSQ Corp), Securities Purchase Agreement (Kartoon Studios, Inc.), Securities Purchase Agreement (Scilex Holding Co)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 446 contracts
Samples: Securities Purchase Agreement (Universe Pharmaceuticals INC), Purchase Agreement (Northann Corp.), Securities Purchase Agreement (Tharimmune, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Securities will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 355 contracts
Samples: Underwriting Agreement (Lafayette Energy Corp.), Underwriting Agreement (Job Aire Group Inc.), Underwriting Agreement (Lafayette Energy Corp.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 337 contracts
Samples: Securities Purchase Agreement (Oncolix, Inc.), Financial Advisory Agreement (PharmaCyte Biotech, Inc.), Securities Purchase Agreement (Chron Organization, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 323 contracts
Samples: Securities Purchase Agreement (Comstock Inc.), Securities Purchase Agreement (Comstock Inc.), Securities Purchase Agreement (Comstock Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 150 contracts
Samples: Securities Purchase Agreement (Purple Biotech Ltd.), Securities Purchase Agreement (Nova Lifestyle, Inc.), Underwriting Agreement (Founder Group LTD)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 123 contracts
Samples: Securities Purchase Agreement (IceCure Medical Ltd.), Securities Purchase Agreement (IceCure Medical Ltd.), Securities Purchase Agreement (HiTek Global Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 116 contracts
Samples: Securities Purchase Agreement (NextCoal International, Inc.), Securities Purchase Agreement (Pura Naturals, Inc.), Securities Purchase Agreement (Cool Technologies, Inc.)
Investment Company. The Company is not, and is not an Affiliate affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 86 contracts
Samples: Securities Purchase Agreement (Regen BioPharma Inc), Securities Purchase Agreement (Regen BioPharma Inc), Securities Purchase Agreement (Clean Vision Corp)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Public Shares will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 77 contracts
Samples: Underwriting Agreement (Heritage Distilling Holding Company, Inc.), Underwriting Agreement (Heritage Distilling Holding Company, Inc.), Underwriting Agreement (Heritage Distilling Holding Company, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall currently intends to conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 61 contracts
Samples: At the Market Offering Agreement (ThermoGenesis Holdings, Inc.), At the Market Offering Agreement (Uranium Energy Corp), At the Market Offering Agreement (Opgen Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “"investment company” " subject to registration under the Investment Company Act of 1940, as amended.
Appears in 56 contracts
Samples: Securities Purchase Agreement (Flora Growth Corp.), Placement Agent Agreement (Flora Growth Corp.), Securities Purchase Agreement (KWESST Micro Systems Inc.)
Investment Company. The Company is not, and is not an Affiliate affiliate of, and immediately after receipt of payment for the Securities, Shares will not be or be an Affiliate affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 53 contracts
Samples: Share Exchange Agreement (Ecoark Holdings, Inc.), Share Exchange Agreement (Ault Alliance, Inc.), Securities Purchase Agreement (Ecoark Holdings, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 51 contracts
Samples: Securities Purchase Agreement, Securities Purchase Agreement (Mindpix Corp), Common Stock Purchase Agreement (Cinedigm Corp.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 46 contracts
Samples: Securities Purchase Agreement (S&W Seed Co), Securities Purchase Agreement (Bulldog Technologies Inc), Securities Purchase Agreement (Sento Corp)
Investment Company. The Company is not, and is not an Affiliate affiliate of, and immediately after receipt of payment for the Offered Securities, will not be or be an Affiliate affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 38 contracts
Samples: Underwriting Agreement (SRIVARU Holding LTD), Underwriting Agreement (SRIVARU Holding LTD), Underwriting Agreement (SRIVARU Holding LTD)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 33 contracts
Samples: Securities Purchase Agreement (FWHC Holdings, LLC), Securities Purchase Agreement (Digital Power Corp), Securities Purchase Agreement (Digital Power Corp)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securitiesshares of Preferred Stock, will not be or be an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 32 contracts
Samples: Securities Purchase Agreement (Exabyte Corp /De/), Securities Purchase Agreement (Accupoll Holding Corp), Securities Purchase Agreement (Integral Vision Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Shares will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 28 contracts
Samples: Underwriting Agreement (Airship AI Holdings, Inc.), Open Market Sale Agreement (Vuzix Corp), Underwriting Agreement (Chicken Soup for the Soul Entertainment, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Public Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 27 contracts
Samples: Underwriting Agreement (Biodexa Pharmaceuticals PLC), Underwriting Agreement (Biodexa Pharmaceuticals PLC), Underwriting Agreement (Biodexa Pharmaceuticals PLC)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Offered Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 26 contracts
Samples: Underwriting Agreement (Fuxing China Group LTD), Underwriting Agreement (Fuxing China Group LTD), Underwriting Agreement (Plutus Financial Group LTD)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended. The Company is not aware of any person that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Regulation D Securities.
Appears in 25 contracts
Samples: Securities Purchase Agreement (CarbonMeta Technologies, Inc.), Securities Purchase Agreement (Global Technologies LTD), Securities Purchase Agreement (Global Technologies LTD)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Securities will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 25 contracts
Samples: Underwriting Agreement (Jupiter Neurosciences, Inc.), Underwriting Agreement (Autonomix Medical, Inc.), Underwriting Agreement (Autonomix Medical, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securitiesshares of Preferred Stock, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 24 contracts
Samples: Securities Purchase Agreement (DDS Technologies Usa Inc), Securities Purchase Agreement (Crestview Capital Master LLC), Securities Purchase Agreement (DDS Technologies Usa Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Public Securities will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 22 contracts
Samples: Underwriting Agreement (Palisade Bio, Inc.), Underwriting Agreement (Palisade Bio, Inc.), Underwriting Agreement (Palisade Bio, Inc.)
Investment Company. The Company is not, and is not an Affiliate affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 22 contracts
Samples: Underwriting Agreement (Yield10 Bioscience, Inc.), Underwriting Agreement (Achieve Life Sciences, Inc.), Underwriting Agreement (Boxlight Corp)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesPreferred Shares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall will conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 21 contracts
Samples: Stock Purchase Agreement (Camber Energy, Inc.), Loan Agreement (Camber Energy, Inc.), Stock Purchase Agreement (Camber Energy, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 20 contracts
Samples: Securities Purchase Agreement (DermTech, Inc.), Stock Purchase Agreement (Immunomedics Inc), Stock Purchase Agreement (Seattle Genetics Inc /Wa)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Offered Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 20 contracts
Samples: Underwriting Agreement (Gelteq LTD), Underwriting Agreement (Gelteq LTD), Underwriting Agreement (VCI Global LTD)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 19 contracts
Samples: Securities Purchase Agreement (Solowin Holdings, Ltd.), Stock Purchase Agreement (Cytrx Corp), Securities Purchase Agreement (CBAK Energy Technology, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesNotes, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 19 contracts
Samples: Securities Purchase Agreement (Luxurban Hotels Inc.), Securities Purchase Agreement (Fluent, Inc.), Securities Purchase Agreement (Luxurban Hotels Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesUnderwritten Shares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 19 contracts
Samples: Underwriting Agreement (MED EIBY Holding Co., LTD), Underwriting Agreement (3 E Network Technology Group LTD), Underwriting Agreement (MED EIBY Holding Co., LTD)
Investment Company. The Company is not, and is not an Affiliate affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 18 contracts
Samples: Purchase Agreement (NaturalShrimp Inc), Purchase Agreement (NaturalShrimp Inc), Securities Purchase Agreement (Spirits Capital Corp)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesUnits, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 17 contracts
Samples: Securities Purchase Agreement (U Power LTD), Securities Purchase Agreement (U Power LTD), Securities Purchase Agreement (SHENGFENG DEVELOPMENT LTD)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall will conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 17 contracts
Samples: Stock Purchase Agreement (Ascent Solar Technologies, Inc.), Share Subscription Agreement (NewLead Holdings Ltd.), Stock Purchase Agreement (Ascent Solar Technologies, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Exchange Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 17 contracts
Samples: Exchange Agreement (Integrated Ventures, Inc.), Exchange Agreement (Endonovo Therapeutics, Inc.), Exchange Agreement (NXT-Id, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.. 投资公司。在1940年投资公司法案定义下，公司现在不是投资公司或投资公司的关联方，在收到股票的支付后也不会成为投资公司或投资公司的关联方。公司应以一种使其不会成为需要注册的投资公司的方式经营业务。
Appears in 15 contracts
Samples: Securities Purchase Agreement (TD Holdings, Inc.), Securities Purchase Agreement (China HGS Real Estate Inc.), Securities Purchase Agreement (TD Holdings, Inc.)
Investment Company. The Company is not, and is not an Affiliate affiliate of, and immediately after receipt of payment for the Securities, Units will not be or be an Affiliate affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 14 contracts
Samples: Subscription Agreement (Grom Social Enterprises, Inc.), Subscription Agreement (Polarityte, Inc.), Subscription Agreement (Digital Power Corp)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Firm Shares will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 14 contracts
Samples: Underwriting Agreement (BiondVax Pharmaceuticals Ltd.), Underwriting Agreement (BiondVax Pharmaceuticals Ltd.), Underwriting Agreement (BiondVax Pharmaceuticals Ltd.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Securities will not be or be an Affiliate of, an “‘investment company” ’ within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become be an “‘investment company” ’ subject to registration under the Investment Company Act of 1940, as amended.
Appears in 13 contracts
Samples: Securities Purchase Agreement (Celularity Inc), Securities Purchase Agreement (1847 Holdings LLC), Securities Purchase Agreement (Paid Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become be an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 12 contracts
Samples: Securities Purchase Agreement (Adven Inc.), Securities Purchase Agreement (Bruush Oral Care Inc.), Securities Purchase Agreement (Bruush Oral Care Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The For so long as the Warrants remain outstanding, the Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 12 contracts
Samples: Securities Purchase Agreement (Purple Biotech Ltd.), Securities Purchase Agreement (Check-Cap LTD), Securities Purchase Agreement (Check-Cap LTD)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Securities will not be or be an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “"investment company” " subject to registration under the Investment Company Act of 1940, as amended.
Appears in 11 contracts
Samples: Underwriting Agreement (GREENPOWER MOTOR Co INC.), Underwriting Agreement (OceanPal Inc.), Underwriting Agreement (BT Brands, Inc.)
Investment Company. The Company is not, and is not an Affiliate affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 10 contracts
Samples: Securities Purchase Agreement (Galaxy Next Generation, Inc.), Securities Purchase Agreement (Pacer Health Corp), Securities Purchase Agreement (Harvey Electronics Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be registered or required to be an Affiliate of, registered as an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 10 contracts
Samples: Securities Purchase Agreement (Biolife Solutions Inc), Securities Purchase Agreement (Biolife Solutions Inc), Securities Purchase Agreement (Biolife Solutions Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Firm Securities will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 10 contracts
Samples: Underwriting Agreement (Biolase, Inc), Underwriting Agreement (Biolase, Inc), Underwriting Agreement (Biolase, Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares and Warrants, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 9 contracts
Samples: Securities Purchase Agreement (Applied Dna Sciences Inc), Securities Purchase Agreement (Applied Dna Sciences Inc), Securities Purchase Agreement (Transgenomic Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, of an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 9 contracts
Samples: Securities Purchase Agreement (Nuwellis, Inc.), Securities Purchase Agreement (Nuwellis, Inc.), Securities Purchase Agreement (Nuwellis, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not neither be or nor be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall will conduct its business in such a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 8 contracts
Samples: Securities Purchase Agreement (Bullion River Gold Corp), Securities Purchase Agreement (Bullion River Gold Corp), Securities Purchase Agreement (Bullion River Gold Corp)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares and Warrants, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 8 contracts
Samples: Securities Purchase Agreement (Pieris Pharmaceuticals, Inc.), Stock and Warrant Purchase Agreement (Stereotaxis, Inc.), Securities Purchase Agreement (Transgenomic Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares and Warrants, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 8 contracts
Samples: Securities Purchase Agreement (Real Goods Solar, Inc.), Securities Purchase Agreement (Document Security Systems Inc), Securities Purchase Agreement (Document Security Systems Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesCommon Shares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 8 contracts
Samples: Securities Purchase Agreement (Oric Pharmaceuticals, Inc.), Securities Purchase Agreement (Kura Oncology, Inc.), Securities Purchase Agreement (Akero Therapeutics, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securitiesshares of Series B Preferred Stock, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 8 contracts
Samples: Exchange Agreement (Phoenix Venture Fund LLC), Series B Preferred Stock Purchase Agreement (Phoenix Venture Fund LLC), Series B Preferred Stock Purchase Agreement (Phoenix Venture Fund LLC)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 7 contracts
Samples: Securities Purchase Agreement (Fuse Science, Inc.), Securities Purchase Agreement (Biozone Pharmaceuticals, Inc.), Securities Purchase Agreement (MusclePharm Corp)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 7 contracts
Samples: Securities Purchase Agreement, Securities Purchase Agreement (Softech Inc), Securities Purchase Agreement (Softech Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not not, for as long as the Warrants remain outstanding, be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The For as long as the Warrants remain outstanding, the Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 7 contracts
Samples: Securities Purchase Agreement (CurrencyWorks Inc.), Securities Purchase Agreement (CurrencyWorks Inc.), Securities Purchase Agreement (CurrencyWorks Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall shall, while the Notes are outstanding, conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 7 contracts
Samples: Securities Purchase Agreement (Force Protection Video Equipment Corp.), Securities Purchase Agreement (Force Protection Video Equipment Corp.), Securities Purchase Agreement (Force Protection Video Equipment Corp.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 7 contracts
Samples: Securities Purchase Agreement (Bioptix, Inc.), Securities Purchase Agreement (Bioptix, Inc.), Securities Purchase Agreement (Bioptix, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amendedAct. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Catasys, Inc.), Securities Purchase Agreement (Catasys, Inc.), Securities Purchase Agreement (Catasys, Inc.)
Investment Company. The Company is not, and is not an Affiliate affiliate of, and immediately after receipt of payment for the Securities, Securities will not be or be an Affiliate affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 6 contracts
Samples: Subscription Agreement (Hometown International, Inc.), Subscription Agreement (ProPhase Labs, Inc.), Subscription Agreement (DiMi Telematics International, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares and the Warrants, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Benitec Biopharma Inc.), Securities Purchase Agreement (Ascent Solar Technologies, Inc.), Securities Purchase Agreement (Ascent Solar Technologies, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall will conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 6 contracts
Samples: Stock Purchase Agreement (Lucas Energy, Inc.), Securities Purchase Agreement (Lucas Energy, Inc.), Stock Purchase Agreement (Lucas Energy, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall currently intends to conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Adventrx Pharmaceuticals Inc), Securities Purchase Agreement (Adventrx Pharmaceuticals Inc), Securities Purchase Agreement (Adventrx Pharmaceuticals Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesNotes, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Fennec Pharmaceuticals Inc.), Securities Purchase Agreement (Fennec Pharmaceuticals Inc.), Securities Purchase Agreement (Mri Interventions, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesSecurities and consummation of the Business Combination, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Securities Purchase Agreement (ZyVersa Therapeutics, Inc.), Securities Purchase Agreement (ZyVersa Therapeutics, Inc.), Securities Purchase Agreement (SHF Holdings, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so as to reasonably ensure that it or its Subsidiaries will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Richtech Robotics Inc.), Securities Purchase Agreement (Richtech Robotics Inc.), Securities Purchase Agreement (Fenbo Holdings LTD)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Notes will not be or be an Affiliate of, an “‘investment company” ’ within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become be an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Note Purchase Agreement (Alternus Clean Energy, Inc.), Note Purchase Agreement (iSpecimen Inc.), Securities Purchase Agreement (Advent Technologies Holdings, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesDebenture, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall will conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Cleanspark, Inc.), Securities Purchase Agreement (Gopher Protocol Inc.), Securities Purchase Agreement (Beyond Commerce, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesOffered Shares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Underwriting Agreement (China Eco-Materials Group Co. LTD), Underwriting Agreement (American BriVision (Holding) Corp), Underwriting Agreement (American BriVision (Holding) Corp)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “"investment company” " subject to registration under the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Top Ships Inc.), Securities Purchase Agreement (Top Ships Inc.), Securities Purchase Agreement (Top Ships Inc.)
Investment Company. The Company Company, its Subsidiaries is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”). The Company Company, its Subsidiaries shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 5 contracts
Samples: Securities Purchase Agreement (White River Energy Corp.), Securities Purchase Agreement (White River Energy Corp.), Securities Purchase Agreement (White River Energy Corp.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securitiestransactions contemplated hereby, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Backstop Commitment Agreement (Reed's, Inc.), Backstop Commitment Agreement (Reed's, Inc.), Backstop Commitment Agreement (Reed's, Inc.)
Investment Company. The Company Company, its Subsidiaries is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company Company, its Subsidiaries shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Curative Biotechnology Inc), Securities Purchase Agreement (Curative Biotechnology Inc), Securities Purchase Agreement (Jupiter Neurosciences, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securitiesshares of Series C Preferred Stock, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Phoenix Venture Fund LLC), Securities Purchase Agreement (Phoenix Venture Fund LLC), Securities Purchase Agreement (Communication Intelligence Corp)
Investment Company. The Company is not, and is not an Affiliate affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Underwriting Agreement (La Rosa Holdings Corp.), Underwriting Agreement (La Rosa Holdings Corp.), Common Stock Purchase Agreement (Patient Safety Technologies, Inc)
Investment Company. The Company is not, and is not an Affiliate affiliate of, and immediately after receipt of payment for the Securities, Preferred Shares will not neither be or nor be an Affiliate affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 5 contracts
Samples: Securities Purchase Agreement (RiskOn International, Inc.), Securities Purchase Agreement (Alzamend Neuro, Inc.), Securities Purchase Agreement (Ault Alliance, Inc.)
Investment Company. The Company is not, and is not an no Affiliate ofis, and immediately after receipt of payment for the Securities, Securities will not be or be an be, and no Affiliate ofwill be, required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Underwriting Agreement (U.S. GoldMining Inc.), Underwriting Agreement (U.S. GoldMining Inc.), Underwriting Agreement (U.S. GoldMining Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Securities will not be or be an Affiliate ofbe, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The While any Securities remain outstanding, other than with the consent of the Purchasers, the Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Securities Purchase Agreement (180 Life Sciences Corp.), Securities Purchase Agreement (180 Life Sciences Corp.), Securities Purchase Agreement (180 Life Sciences Corp.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall will conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Securities Purchase Agreement (SenesTech, Inc.), Stock Purchase Agreement (Nephros Inc), Securities Purchase Agreement (Lebow Bennett S)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares and Preferred Stock, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Spherix Inc), Securities Purchase Agreement (Spherix Inc), Securities Purchase Agreement (Superconductor Technologies Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended..
Appears in 4 contracts
Samples: Securities Purchase Agreement (Soligenix, Inc.), Securities Purchase Agreement (Quoin Pharmaceuticals, Ltd.), Securities Purchase Agreement (Quoin Pharmaceuticals, Ltd.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.as
Appears in 4 contracts
Samples: Securities Purchase Agreement (Allena Pharmaceuticals, Inc.), Stock Purchase Agreement (HTG Molecular Diagnostics, Inc), Common Stock Purchase Agreement (Synta Pharmaceuticals Corp)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedas.
Appears in 4 contracts
Samples: Underwriting Agreement (ADiTx Therapeutics, Inc.), Underwriting Agreement (ADiTx Therapeutics, Inc.), Underwriting Agreement (ADiTx Therapeutics, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amendedamended (the “1940 Act”). The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended1940 Act.
Appears in 4 contracts
Samples: Securities Purchase Agreement (FibroBiologics, Inc.), Securities Purchase Agreement (FibroBiologics, Inc.), Securities Purchase Agreement (reAlpha Tech Corp.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesNote, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall will conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 4 contracts
Samples: Purchase Agreement (Generex Biotechnology Corp), Note Purchase Agreement (Inception Mining Inc.), Note Purchase Agreement (Inception Mining Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesWarrants, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Freight Technologies, Inc.), Securities Purchase Agreement (Freight Technologies, Inc.), Securities Purchase Agreement (Hudson Capital Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesPlacement Shares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Sales Agreement (Foresight Autonomous Holdings Ltd.), Sales Agreement (Foresight Autonomous Holdings Ltd.), Sales Agreement (Foresight Autonomous Holdings Ltd.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Subscription Securities will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Share Subscription Agreement (Uxin LTD), Share Subscription Agreement (Eve One Fund II L.P.), Share Subscription Agreement (Joy Capital Opportunity, L.P.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall currently intends to conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 4 contracts
Samples: Controlled Equity Offering Agreement (Apricus Biosciences, Inc.), Sales Agreement (Netlist Inc), At the Market Offering Agreement (Cavico Corp)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Closing Securities will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Underwriting Agreement (Cesca Therapeutics Inc.), Underwriting Agreement (IsoRay, Inc.), Underwriting Agreement (IsoRay, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesExchange Security, will not be or be an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “"investment company” " subject to registration under the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Exchange Agreement (Rocky Mountain High Brands, Inc.), Exchange Agreement (Rocky Mountain High Brands, Inc.), Exchange Agreement (Rocky Mountain High Brands, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall currently intends to conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: At the Market Offering Agreement (GREAT PANTHER MINING LTD), At the Market Offering Agreement (Northern Dynasty Minerals LTD), At the Market Offering Agreement
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate ofrequired to file as, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in amended within a manner so that it will not become an “investment company” subject to registration under period of one year from the Investment Company Act of 1940, as amendeddate hereof.
Appears in 4 contracts
Samples: Subscription Agreement (Montalvo Spirits, Inc.), Securities Purchase Agreement (Regenicin, Inc.), Securities Purchase Agreement (Confederate Motors, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Shares will not be be, or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall shall, during the period set forth in Section 4.10(a), conduct its business in a manner so that it will not become an “investment company” subject to the registration under the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Share Purchase Agreement (Sintx Technologies, Inc.), Share Purchase Agreement (Sintx Technologies, Inc.), Share Purchase Agreement (Sintx Technologies, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall will conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 4 contracts
Samples: Purchase Agreement (POSITIVEID Corp), Purchase Agreement (POSITIVEID Corp), Securities Purchase Agreement (Bullion River Gold Corp)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesNotes, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 4 contracts
Samples: Loan Agreement (Universal Property Development & Acquisition Corp), Loan Agreement (Continental Fuels, Inc.), Securities Purchase Agreement (Exabyte Corp /De/)
Investment Company. The Company is not, and is not an Affiliate affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Intellicell Biosciences, Inc.), Securities Purchase Agreement (Vringo Inc), Securities Purchase Agreement (Vringo Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be required to register as an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become be required to register as an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Aytu Bioscience, Inc), Securities Purchase Agreement (Aytu Bioscience, Inc), Securities Purchase Agreement (Aytu Bioscience, Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the United States Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (DiaMedica Therapeutics Inc.), Securities Purchase Agreement (DiaMedica Therapeutics Inc.), Securities Purchase Agreement (DiaMedica Therapeutics Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and and, immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Jesup & Lamont, Inc.), Securities Purchase Agreement (Empire Financial Holding Co), Securities Purchase Agreement (Neogenomics Inc)
