Investment Company. The Company is not an “investment company” within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 202 contracts
Samples: Securities Purchase Agreement (Nuo Therapeutics, Inc.), Securities Purchase Agreement (Nuo Therapeutics, Inc.), Securities Purchase Agreement (Nuo Therapeutics, Inc.)
Investment Company. The Company is not an “"investment company” " within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 25 contracts
Samples: Note Purchase Agreement (Iaso Pharma Inc), Securities Purchase Agreement (Novelos Therapeutics, Inc.), Subscription Agreement (Depomed Inc)
Investment Company. The Company is not an “investment company” within the meaning of such term under the Investment Company Act of 1940, as amended, 1940 and the rules and regulations of the SEC thereunder.
Appears in 19 contracts
Samples: Securities Purchase Agreement (Appliance Recycling Centers of America Inc /Mn), Securities Purchase Agreement (Silverleaf Resorts Inc), Securities Purchase Agreement (Trikon Technologies Inc)
Investment Company. The Company is not an “"investment company” " within the meaning of such term under the Investment Company Act of 1940, as amended, 1940 and the rules and regulations of the SEC thereunder.
Appears in 15 contracts
Samples: Securities Purchase Agreement (Amtrust International Insurance LTD), Stock Purchase Agreement (Endologix Inc /De/), Securities Purchase Agreement (Iris International Inc)
Investment Company. The Company is not an “"investment company” " within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC Commission thereunder.
Appears in 10 contracts
Samples: Subscription Agreement (Gentium S.p.A.), Common Stock and Warrant Purchase Agreement (Freehand Information Systems, Inc.), Subscription Agreement (Endorex Corp)
Investment Company. The Company is not an “investment company” within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC Securities and Exchange Commission thereunder.
Appears in 10 contracts
Samples: Subscription Agreement (Zivo Bioscience, Inc.), Subscription Agreement (Biotricity Inc.), Subscription Agreement (Biotricity Inc.)
Investment Company. The Company is not an “"investment company” within the meaning of such term " as defined under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 10 contracts
Samples: Asset Purchase Agreement (Vitalstream Holdings Inc), Asset Purchase Agreement (Brekka Richard), Stock Purchase Agreement (Gardenburger Inc)
Investment Company. The Company is not an “investment company” within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC Commission thereunder.
Appears in 7 contracts
Samples: Subscription Agreement (Insite Vision Inc), Common Stock Purchase Agreement (Novavax Inc), Securities Purchase Agreement (Chindex International Inc)
Investment Company. The Company is not, and after giving effect to the transactions contemplated herein, will not be an “"investment company” " within the meaning of such that term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Encision Inc), Securities Purchase Agreement (Epiq Systems Inc), Securities Purchase Agreement (Patient Infosystems Inc)
Investment Company. The Company is not an “investment company,” within the meaning of as such term under is defined in the Investment Company Act of 1940, as amended, and amended (the rules and regulations of the SEC thereunder“Investment Company Act”).
Appears in 6 contracts
Samples: Series F Preferred Stock Purchase Agreement (LendingClub Corp), Series E Preferred Stock Purchase Agreement (LendingClub Corp), Series D Preferred Stock Purchase Agreement (LendingClub Corp)
Investment Company. The Company is not an “"investment company” within the meaning of such term " as defined under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 6 contracts
Samples: Stock Purchase Agreement (Ziff Davis Intermediate Holdings Inc), Series D Preferred Stock Purchase Agreement (Ziff Davis Intermediate Holdings Inc), Stock Purchase Agreement (Ziff Davis Intermediate Holdings Inc)
Investment Company. The Company is not an “"investment company” within the meaning of " as such term under is defined in the Investment Company Act of 1940, as amended, and the rules and regulations will not be an investment company under such Act upon consummation of the SEC thereundertransactions contemplated hereby or after giving effect to the use of proceeds from the purchase of the Purchased Units.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Smartserv Online Inc), Securities Purchase Agreement (Smartserv Online Inc), Stock Purchase Agreement (Smartserv Online Inc)
Investment Company. The Company is not an “investment company” within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Zix Corp), Securities Purchase Agreement (Zix Corp), Securities Purchase Agreement (Zix Corp)
Investment Company. The Company is not an “investment company” within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC promulgated thereunder.
Appears in 4 contracts
Samples: Subscription Agreement (Marina Biotech, Inc.), Subscription Agreement (Adhera Therapeutics, Inc.), Subscription Agreement (Adhera Therapeutics, Inc.)
Investment Company. The Company is not an “"investment company” " or a company "controlled" by an "investment company" within the meaning of such term under the Investment Company Act of 1940, as amended, and or the rules and regulations of the SEC promulgated thereunder.
Appears in 4 contracts
Samples: Common Stock Purchase Agreement (Right Start Inc /Ca), Secured Convertible Bridge Note Purchase Agreement (Right Start Inc /Ca), Series a Preferred Stock Purchase Agreement (Right Start Inc /Ca)
Investment Company. The Company is not an “investment company” within the meaning of such term under the Investment Company Act of 1940, as amended, 1940 and the rules and regulations of the SEC thereunderthereunder and will not become an investment company upon the receipt and application of the net proceeds of this offering.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Avax Technologies Inc), Securities Purchase Agreement (Avax Technologies Inc), Securities Purchase Agreement (Palatin Technologies Inc)
Investment Company. The Company is not an “"investment company” " within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC Securities and Exchange Commission thereunder.
Appears in 3 contracts
Samples: Unit Purchase Agreement (Hybridon Inc), Placement Agency Agreement (Hybridon Inc), Stock Purchase Agreement (Vocalscape Networks, Inc.)
Investment Company. The Company is not an “"investment company” " within the meaning of such term under the Investment Company Act of 1940, as amended, 1940 and the rules and regulations of the SEC Commission thereunder.
Appears in 3 contracts
Samples: Common Stock and Warrant Purchase Agreement (Cellegy Pharmaceuticals Inc), Common Stock Purchase Agreement (Cellegy Pharmaceuticals Inc), Securities Purchase Agreement (Seattle Genetics Inc /Wa)
Investment Company. The Company is not an “"investment company” " within the meaning of such term under the Investment Company Act of 1940, as amended, 1940 and the rules and regulations of the SEC thereunderthereunder and will not become an investment company upon the receipt and application of the net proceeds of this offering.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Findwhat Com Inc), Securities Purchase Agreement (Avax Technologies Inc), Securities Purchase Agreement (Palatin Technologies Inc)
Investment Company. The Company is not an “investment company” within the meaning of such term 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, and the rules and regulations of the SEC thereunder.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Dyadic International Inc), Exchange Agreement (Converted Organics Inc.), Exchange Agreement (Converted Organics Inc.)
Investment Company. The Company is not an “"investment company” within the meaning of such term " as ------------------ defined under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 2 contracts
Samples: Senior Subordinated Loan Agreement (GTCR Golder Rauner LLC), Senior Subordinated Loan Agreement (GTCR Golder Rauner LLC)
Investment Company. The Company is not an “"investment company” " within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 2 contracts
Samples: Merger Agreement (Centris Group Inc), Merger Agreement (HCC Insurance Holdings Inc/De/)
Investment Company. The Company is not an “investment company” within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder. The Company shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Securities Agreement (ImmunoCellular Therapeutics, Ltd.), Stock Purchase Agreement (ImmunoCellular Therapeutics, Ltd.)
Investment Company. The Company is not an “"investment company” within the meaning of such term " ------------------ as defined under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 2 contracts
Samples: Purchase Agreement (GTCR Golder Rauner LLC), Purchase Agreement (GTCR Golder Rauner LLC)
Investment Company. The Company is not an “"investment company” within the meaning of " as such term under is defined in the Investment Company Act of 1940, as amended, and the rules and regulations will not be an investment company under such Act upon consummation of the SEC thereundertransactions contemplated hereby or after giving effect to the use of proceeds from the purchase of the Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Wireless Frontier Internet Inc), Securities Purchase Agreement (Roomlinx Inc)
Investment Company. The Company is not an “"investment company” " ------------------ within the meaning of such term under the Investment Company Act of 1940, as amended, 1940 and the rules and regulations of the SEC thereunder.
Appears in 2 contracts
Samples: Stock Purchase Agreement (Conceptus Inc), Stock Purchase Agreement (Conceptus Inc)
Investment Company. The Company is not, and will not become, an “investment company” within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 2 contracts
Samples: Subscription Agreement (Alset EHome International Inc.), Subscription Agreement (Document Security Systems Inc)
Investment Company. The Company is not an “investment company” within the meaning of such term and subject to regulation under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 2 contracts
Samples: Underwriting Agreement (Energy Xxi (Bermuda) LTD), Underwriting Agreement (Energy Xxi (Bermuda) LTD)
Investment Company. The Company is not an “investment company” "Investment Company" within the meaning of such term under the Investment Company Act of 1940, as amended, 1940 and the rules and regulations of the SEC thereunder.
Appears in 2 contracts
Samples: Common Stock Subscription Agreement (Sonoran Energy Inc), Common Stock Subscription Agreement (3dx Technologies Inc)
Investment Company. The Company is not an “investment company” within the meaning of such term under the U.S. Investment Company Act of 1940, as amendedamended (the “Investment Company Act”), and the rules and regulations of the SEC Commission thereunder. None of the Group Companies is, and as a result of the offer and sale of the Shares contemplated herein will not be, required to register as an “investment company” under, and as such term is defined in, the Investment Company Act in connection with or as a result of the application of the proceeds from the sale of the Shares.
Appears in 1 contract
Samples: Stock Purchase Agreement (Chindex International Inc)
Investment Company. The Company is not an “investment company” within the meaning of or a company “controlled” by an “investment company,” as such term under terms are defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 1 contract
Samples: Reimbursement Agreement (Renewable Energy Group, Inc.)
Investment Company. The Company is not an “investment company” within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC promulgated thereunder.
Appears in 1 contract
Investment Company. The Company is not an “"investment company” within the meaning of such term " as ------------------ defined under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 1 contract
Investment Company. The Company is not an “investment company” within the meaning of such term as defined in or subject to regulation under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 1 contract
Investment Company. The Company is not an “"investment company” " ------------------- within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 1 contract
Investment Company. The Company is not an “investment company” within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder. The Company shall at all times 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 1 contract
Investment Company. The Company is not an “investment company” within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC Securities and Exchange Commission (“SEC”) thereunder.
Appears in 1 contract
Samples: Subscription Agreement (NEUROONE MEDICAL TECHNOLOGIES Corp)
Investment Company. The Company is not an “"investment company” " within ------------------ the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC Commission thereunder.
Appears in 1 contract
Samples: Subscription Agreement (Conversion Technologies International Inc)
Investment Company. The Company is not an “investment company” within the meaning of as such term under is defined in the Investment Company Act of 1940, as amended, and will not be an investment company under such Act after giving effect to the rules and regulations use of proceeds from the sale of the SEC thereunderShares to the Purchaser.
Appears in 1 contract
Investment Company. The Company is not an “investment company” within the meaning of as such term under is defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 1 contract
Investment Company. The Company is not an “"investment company” within the meaning of " as such term under is defined in the Investment Company Act of 1940, as amended, and the rules and regulations will not be an investment company under such Act upon consummation of the SEC thereundertransactions contemplated hereby or after giving effect to the use of proceeds from the purchase of the Purchased Shares.
Appears in 1 contract
Investment Company. The Company is not an “"investment company” " ------------------- within the meaning of such term under the Investment Company Act of 1940, as amended, 1940 and the rules and regulations of the SEC thereunderthereunder and will not become an investment company upon the receipt and application of the net proceeds of this offering.
Appears in 1 contract
Samples: Stock Purchase Agreement (Interneuron Pharmaceuticals Inc)
Investment Company. The Company is not an “investment company” "Investment Company" ------------------ within the meaning of such term under the Investment Company Act of 1940, as amended, 1940 and the rules and regulations of the SEC thereunder.
Appears in 1 contract
Investment Company. The Company To the knowledge of the Company, it is not an “investment company” within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder1940 Act.
Appears in 1 contract
Investment Company. The Company is not an “investment company” within the meaning of such term under the Investment Company Act of 1940, as amended, and or the rules and regulations of the SEC promulgated thereunder.
Appears in 1 contract
Samples: Securities Purchase Agreement (Neuro-Hitech Pharmaceuticals Inc)
Investment Company. The Company is not an “"investment company” " within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC Commission promulgated thereunder.
Appears in 1 contract
Samples: Purchase Agreement (Genitope Corp)
Investment Company. The Company is not an “investment company”, or a company “controlled” by an “investment company”, within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 1 contract
Investment Company. The Company is not an “investment company” within the meaning of such term as defined under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 1 contract
Samples: Stock Purchase Agreement (US Oncology Holdings, Inc.)
Investment Company. The Company is not an “"investment ------------------- company” " within the meaning of such term under the Investment Company Act of 1940, as amended, 1940 and the rules and regulations of the SEC Commission thereunder.
Appears in 1 contract
Investment Company. The Company is not an “"investment company” " within the meaning of such term under the Investment Company Act of 1940, as amended, 1940 and the rules and regulations thereunder and will not become an investment company upon the receipt and application of the SEC thereundernet proceeds of the offering contemplated by this Agreement.
Appears in 1 contract
Samples: Common Stock and Warrant Purchase Agreement (Impax Laboratories Inc)
Investment Company. The Company is not an “"investment company” within the meaning of " as such term under is defined in the Investment Company Act of 1940, as amendedamended (the "1940 Act"), and will not be an "investment company" under the rules and regulations 1940 Act after giving effect to the use of proceeds from the issuance of the SEC thereunderSenior Subordinated Notes.
Appears in 1 contract
Investment Company. The Company is not an “"investment ------------------ company” " within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 1 contract
Investment Company. The Company is not an “"investment company” within the meaning of such term under " as defined in, or subject to regulation under, the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 1 contract
Samples: Stock Purchase Agreement (Quanta Capital Holdings LTD)
Investment Company. The Company It is not an “investment company” within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 1 contract
Samples: Purchase and Sale Agreement (Reynolds Group Holdings LTD)
Investment Company. The Company is not an “investment company” within the meaning of such term under the Investment Company Act of 1940, as amended, 1940 and the rules and regulations of the SEC Commission thereunder.
Appears in 1 contract
Investment Company. The Company is not an “"investment company” " ------------------ within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 1 contract
Investment Company. The Company is not an “investment company” or a company “controlled” by an “investment company”, within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder1940 Act.
Appears in 1 contract
Investment Company. The Company is not an “"investment company” " within the meaning of such that term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 1 contract
Samples: Securities Purchase Agreement (Avax Technologies Inc)
Investment Company. The Company is not an “"investment company” " within ------------------ the meaning of such term under the Investment Company Act of 1940, as amended, 1940 and the rules and regulations of the SEC thereunder.
Appears in 1 contract
Investment Company. The Company is not an “investment company” within the meaning of such term under the Investment Company Act of 1940, as amendedamended (an “Investment Company”), and the rules and regulations of the SEC thereunderthereunder and immediately following the use of the proceeds from the aggregate purchase price to be paid by the Subscriber pursuant to this Agreement and the Subscription Agreement as currently contemplated by the Company, the Company will not be an Investment Company.
Appears in 1 contract
Investment Company. The Company is not an “investment company” within the meaning of company or an entity controlled by an investment company as such term under terms are defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 1 contract
Samples: Note Purchase Agreement (Computer Associates International Inc)
Investment Company. The Company It is not an “investment company” within the meaning of such term under "Investment Company" as defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.. 4.2
Appears in 1 contract
Samples: Participation Agreement (Overseas Shipholding Group Inc)
Investment Company. The Company is not an “investment company” within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC Securities and Exchange Commission (the “Commission”) promulgated thereunder.
Appears in 1 contract
Investment Company. The Company is not an “"investment company” within the meaning of such term " as ------------------- defined under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 1 contract
Samples: Junior Subordinated Loan Agreement (U S Aggregates Inc)
