Investment Company. The Company is not, and is not an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 180 contracts
Samples: Securities Purchase Agreement (Webuy Global LTD), Securities Purchase Agreement (Nature's Miracle Holding Inc.), Securities Purchase Agreement (Crown LNG Holdings LTD)
Investment Company. The Neither the Company nor any Affiliate of the Company is not, and is not an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 177 contracts
Samples: Note Settlement Agreement, Subscription Agreement (MamaMancini's Holdings, Inc.), Subscription Agreement (Aethlon Medical Inc)
Investment Company. The Company is not, and is not an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 164 contracts
Samples: Securities Purchase Agreement (Sphere 3D Corp.), Securities Purchase Agreement (Seelos Therapeutics, Inc.), Securities Purchase Agreement (Torvec Inc)
Investment Company. The Company is not, and is not an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 114 contracts
Samples: Acquisition Agreement (SMC Entertainment, Inc.), Equity Purchase Agreement (OS Therapies Inc), Five Year Credit Agreement (Stanley Black & Decker, Inc.)
Investment Company. The Company is not, and is not an Affiliate (as defined in Rule 405 under the Securities Act) of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 99 contracts
Samples: Securities Purchase Agreement (Fonix Corp), Securities Purchase Agreement (Fonix Corp), Securities Purchase Agreement (Medix Resources Inc)
Investment Company. The Company is not, and is not an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 68 contracts
Samples: Equity Purchase Agreement (Sphere 3D Corp), Common Stock Purchase Agreement (Air Industries Group), Securities Purchase Agreement (pSivida LTD)
Investment Company. The Company is not, and is not controlled by or under common control with an Affiliate affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 37 contracts
Samples: Subscription Agreement (Centura Software Corp), Series B Convertible Preferred Stock and Warrant Purchase Agreement (Sandler Capital Management), Preferred Stock Purchase Agreement (Transact Technologies Inc)
Investment Company. The Company is not, and is not an Affiliate affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 30 contracts
Samples: Stock Purchase Agreement, Share Exchange Agreement (Computer Vision Systems Laboratories Corp.), Securities Purchase Agreement (Microvision Inc)
Investment Company. The Company is not, and is not an Affiliate of, of an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 27 contracts
Samples: Subscription Agreement (Comprehensive Healthcare Solutions Inc), Subscription Agreement (Datascension Inc), Subscription Agreement (One Voice Technologies Inc)
Investment Company. The Company is not, and is not an Affiliate affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 25 contracts
Samples: Purchase Agreement (Document Security Systems Inc), Amended and Restated Agreement (Raser Technologies Inc), Securities Purchase Agreement (MFC Development Corp)
Investment Company. The Company is not, and is not an Affiliate of, an “investment company” company within the meaning of the Investment Company Act of 1940, as amended.
Appears in 23 contracts
Samples: Securities Purchase Agreement (Hale Martin M Jr), Common Stock Purchase Agreement (Lantronix Inc), Securities Purchase Agreement (Top Image Systems LTD)
Investment Company. The Company is not, and is not an Affiliate of, of an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 20 contracts
Samples: Convertible Debenture Purchase Agreement (Eurotech LTD), Convertible Debenture Purchase Agreement (JNC Opportunity Fund LTD), Convertible Debenture Purchase Agreement (PLC Systems Inc)
Investment Company. The Company is not, not and is not an Affiliate of, of an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 13 contracts
Samples: Convertible Preferred Stock Purchase Agreement (Cayenne Software Inc), Convertible Preferred Stock Purchase Agreement (Phoenix Network Inc), Convertible Preferred Stock Purchase Agreement (Wave Systems Corp)
Investment Company. The Company is not, and is not an "Affiliate person" of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 13 contracts
Samples: Series F Convertible Preferred Stock Purchase Agreement (Fonix Corp), Purchase Agreement (Collegiate Pacific Inc), Convertible Debenture Purchase Agreement (Fix Corp International Inc)
Investment Company. The Company is not, and is not an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.;
Appears in 12 contracts
Samples: Securities Purchase Agreement (Brain Scientific Inc.), Securities Purchase Agreement (Brain Scientific Inc.), Securities Purchase Agreement (Conversion Labs, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, an “investment company” company within the meaning of the Investment Company Act of 1940, as amended.
Appears in 11 contracts
Samples: Exclusive License Agreement, Securities Purchase Agreement (RedHill Biopharma Ltd.), Preferred Stock Purchase Agreement (Ovid Therapeutics Inc.)
Investment Company. The Company is not, and is not an Affiliate (as defined in Rule 405 under the Securities Act) ) of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 10 contracts
Samples: Convertible Debenture Purchase Agreement (Global Intellicom Inc), Convertible Debenture Purchase Agreement (Intelligent Medical Imaging Inc), Convertible Preferred Stock Purchase Agreement (Big Entertainment Inc)
Investment Company. The Company is not, and is not an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.; and
Appears in 10 contracts
Samples: Subscription Agreement (Tel Instrument Electronics Corp), Subscription Agreement (Tel Instrument Electronics Corp), Securities Purchase Agreement (GreenBox POS)
Investment Company. The Company is not, and is not an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended, and will not, as a result of the transactions contemplated hereby, become an "investment company."
Appears in 9 contracts
Samples: Stock Purchase Agreement (Genetronics Biomedical LTD), Stock Purchase Agreement (Dimeling Schreiber & Park), Stock Purchase Agreement (Photoelectron Corp)
Investment Company. The Company is not, not and is not an Affiliate of, controlled by or affiliated with an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 8 contracts
Samples: Series D Securities Purchase Agreement (Renren Inc.), Stock and Warrant Purchase Agreement (Satcon Technology Corp), Stock Purchase Agreement (Ssa Global Technologies, Inc)
Investment Company. The Company is not, and is not an Affiliate of, of an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 8 contracts
Samples: Subscription Agreement (Globetel Communications Corp), Subscription Agreement (Blastgard International Inc), Subscription Agreement (Innovative Food Holdings Inc)
Investment Company. The Company is not, and is not an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amendedamended and will not, as a result of the transactions contemplated hereby, become an "investment company."
Appears in 7 contracts
Samples: Exclusive License and Supply Agreement (Icn Pharmaceuticals Inc), Exclusive License and Supply Agreement (Icn Pharmaceuticals Inc), Exclusive License and Supply Agreement (Ribapharm Inc)
Investment Company. The Company is not, and is not an Affiliate (as defined in Rule 405 under the 1000 Xxx) of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 7 contracts
Samples: Subscription Agreement (Kaire Holdings Inc), Subscription Agreement (Kaire Holdings Inc), Subscription Agreement (Isecuretrac Corp)
Investment Company. The Company is not, and is not an Affiliate ------------------ (as defined in Rule 405 under the Securities Act) of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 7 contracts
Samples: Convertible Debenture Purchase Agreement (Aquatic Cellulose International Corp), Convertible Preferred Stock Purchase Agreement (Number Nine Visual Technology Corp), Securities Purchase Agreement (Aquatic Cellulose International Corp)
Investment Company. The Company is not, and is not an Affiliate "affiliate" of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Subscription Agreement (Home Solutions of America Inc), Subscription Agreement (Siricomm Inc), Subscription Agreement (Tag It Pacific Inc)
Investment Company. The Company is not, and is not an ------------------ Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Ashton Technology Group Inc), Securities Purchase Agreement (Questcor Pharmaceuticals Inc), Securities Purchase Agreement (Questcor Pharmaceuticals Inc)
Investment Company. The Company is not, and is not an Affiliate (as defined in Rule 405 under the 1933 Act) of, an “"investment company” xxxxxxx" within the meaning of the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Subscription Agreement (Swiss Medica Inc), Subscription Agreement (Tissera Inc), Subscription Agreement (Bravo Foods International Corp)
Investment Company. The Company is not, and is not an Affiliate (as defined in Rule 405 under the 0000 Xxx) of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Subscription Agreement (Force Protection Inc), Subscription Agreement (Isecuretrac Corp), Subscription Agreement (Conolog Corp)
Investment Company. The Company is not, and is not an Affiliate affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Subscription Agreement (Mateon Therapeutics Inc), Subscription Agreement (Mateon Therapeutics Inc), Subscription Agreement (Mateon Therapeutics Inc)
Investment Company. The Company is not, and is not an “Affiliate person” of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Series N Convertible Preferred Stock Purchase Agreement (Fonix Corp), Series P 9% Convertible Preferred Stock Exchange Agreement (Fonix Corp), Exchange Agreement (Fonix Corp)
Investment Company. The Company is not, and is not an Affiliate of, of an “investment company” "INVESTMENT COMPANY" within the meaning of the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Subscription Agreement (American Oriental Bioengineering Inc), Subscription Agreement (American Oriental Bioengineering Inc), Subscription Agreement (American Oriental Bioengineering Inc)
Investment Company. The Company is not, and is not an Affiliate (as defined in Rule 405 under the 0000 Xxx) of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Subscription Agreement (Commonwealth Biotechnologies Inc), Subscription Agreement (Warning Model Management Inc), Subscription Agreement (Kaire Holdings Inc)
Investment Company. The Company is not, and is not an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and will not, as a result of the transactions contemplated hereby, become an “investment company”.
Appears in 5 contracts
Samples: Collaboration Agreement (Forest Laboratories Inc), Collaboration Agreement (Ironwood Pharmaceuticals Inc), License Agreement (Ironwood Pharmaceuticals Inc)
Investment Company. The Company is not, and is not an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amendedamended and will not, as a result of the transactions contemplated hereby, become an “investment company”.
Appears in 4 contracts
Samples: Series D Preferred Stock Purchase Agreement (Regado Biosciences Inc), Series E Preferred Stock Purchase Agreement (Regado Biosciences Inc), Series D Preferred Stock Purchase Agreement (Regado Biosciences Inc)
Investment Company. The Acquiror Company is not, and is not an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Share Exchange Agreement (Bay Peak 1 Opportunity Corp.), Share Exchange Agreement (BTHC XV, Inc.), Share Exchange Agreement (Birch Branch Inc)
Investment Company. The Company is not, and is not an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amendedamended (the "INVESTMENT COMPANY ACT").
Appears in 4 contracts
Samples: Securities Purchase Agreement (Microislet Inc), Securities Purchase Agreement (Microislet Inc), Securities Purchase Agreement (Microislet Inc)
Investment Company. The Company is not, not and is not controlled by or affiliated with an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Stock Purchase Agreement (Billing Concepts Corp), Stock and Warrant Purchase Agreement (Shaw Robert W Jr), Stock and Warrant Purchase Agreement (Chleboski Richard G)
Investment Company. The Company is not, and is not an Affiliate (as ------------------ defined in Rule 405 under the Securities Act) of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Fonix Corp), Securities Purchase Agreement (One Voice Technologies Inc), Securities Purchase Agreement (Fonix Corp)
Investment Company. The Company is not, and is not an Affiliate of, an “"investment company” within the meaning of ", as defined in the Investment Company Act of 1940, as amended, nor is the Company controlled by an "investment company."
Appears in 4 contracts
Samples: Exchange Agreement (Westfield America Management LTD), Series a Preferred Securities Purchase Agreement (Prime Group Realty Trust), Exchange Agreement (Westfield Holdings LTD /)
Investment Company. The Company is not, and is not an Affiliate of, an “"investment company” " ------------------ within the meaning of the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Series B Preferred Stock Purchase Agreement (Ia Corp), Securities Purchase Agreement (Egain Communications Corp), Purchase Agreement (Autonomous Technologies Corp)
Investment Company. The Company is not, and is not an Affiliate (as defined in Rule 405 under the 1000 Xxx) of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Tauriga Sciences, Inc.), Securities Purchase Agreement (Tauriga Sciences, Inc.), Securities Purchase Agreement (Tauriga Sciences, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, an “------------------- "investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (China World Trade Corp), Securities Purchase Agreement (China World Trade Corp), Securities Purchase Agreement (Electric Fuel Corp)
Investment Company. The Company is not, and is not an Affiliate (as defined in Rule 405 under the Securities Act) of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Loan Agreement (Bio Solutions Manufacturing, Inc.), Convertible Preferred Stock Purchase Agreement (E Digital Corp), Convertible Debenture Purchase Agreement (Calypte Biomedical Corp)
Investment Company. The Company is not, and is not an Affiliate “affiliate” of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Subscription Agreement (AeroGrow International, Inc.), Subscription Agreement (Gran Tierra Energy, Inc.), Subscription Agreement (Mru Holdings Inc)
Investment Company. The Company is not, and is not an Affiliate of, an “"investment company” " within the meaning of the Investment investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Common Stock Purchase Agreement (American Water Star Inc), Secured Convertible Debenture Purchase Agreement (Integrated Technology Group), Common Stock Purchase Agreement (Cbcom Inc)
Investment Company. The Company is not, and is not an Affiliate of, of an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Exchange Agreement (Marathon Patent Group, Inc.), Convertible Debenture Unit Purchase Agreement (Integrated Environmental Technologies, Ltd.), Convertible Debenture Unit Purchase Agreement (Integrated Environmental Technologies, Ltd.)
Investment Company. The Company is not, and is not an Affiliate of, an “investment company” within the meaning of , as defined in the Investment Company Act of 1940, as amended, nor controlled by an investment company.
Appears in 3 contracts
Samples: Exchange Agreement (Apartment Investment & Management Co), Exchange Agreement (Apartment Investment & Management Co), Purchase Agreement (Prudential Insurance Co of America)
Investment Company. The Company is not, and is not an Affiliate affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Purchase Agreement (Medient Studios, Inc.), Purchase Agreement (Ants Software Inc), Purchase Agreement (Ants Software Inc)
Investment Company. The Company is not, and is not an Affiliate of, an “investment company” within the meaning of as defined under the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Investment Agreement (Carver Bancorp Inc), Subscription Agreement (Great Lakes Dredge & Dock Corp), Stock Purchase Agreement (TRM Corp)
Investment Company. The Company is not, and is not an Affiliate affiliate of, an “investment company” within the meaning of the U.S. 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 U.S. Investment Company Act of 1940.
Appears in 3 contracts
Samples: Arrangement Agreement (Verano Holdings Corp.), Arrangement Agreement (Goodness Growth Holdings, Inc.), Arrangement Agreement (Goodness Growth Holdings, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, an “"investment company” " ------------------ within the meaning of the Investment Company Act of 1940, as amended, and will not, as a result of the transactions contemplated hereby, become an "investment company."
Appears in 3 contracts
Samples: Development and Marketing Agreement (Enact Health Management Systems), Development and Marketing Agreement (Enact Health Management Systems Inc), Stock Purchase Agreement (Ergo Science Corp)
Investment Company. The Company is not, and is not an Affiliate of, an “investment company” within the meaning of as defined under the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”), and the Company does not sponsor any person that is such an investment company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Institutional Financial Markets, Inc.), Securities Purchase Agreement (Institutional Financial Markets, Inc.)
Investment Company. The Company is not, and is not an ------------------ Affiliate (as defined in Rule 405 under the Securities Act) of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Pacific Aerospace & Electronics Inc), Securities Purchase Agreement (Ebaseone Corp)
Investment Company. The Company is not, and is not an ------------------- Affiliate of, of an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Secured Convertible Debenture Purchase Agreement (Achievement Tech Holdings Inc /Id/), Secured Convertible Debenture Purchase Agreement (Demarco Energy Systems of America Inc)
Investment Company. The Company is not, and is not an Affiliate of, an “a registered investment company” company within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Common Stock Purchase Agreement (North American Scientific Inc), Common Stock Purchase Agreement (Tudor Investment Corp Et Al)
Investment Company. The Company is not, and is not an Affiliate "Affiliate" (as defined in Rule 405 under the Securities Act) of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Digital Biometrics Inc), Securities Purchase Agreement (Digital Biometrics Inc)
Investment Company. The Company is not, and is not an "Affiliate ------------------ person" of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Series E Convertible Preferred Stock Exchange and Purchase Agreement (Fonix Corp), Series D Convertible Preferred Stock Purchase Agreement (Fonix Corp)
Investment Company. The Company is not, and is not an Affiliate ------------------- (as defined in Rule 405 under the Securities Act) of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Convertible Debenture Purchase Agreement (Amanda Co Inc), Convertible Debenture Purchase Agreement (Amanda Co Inc)
Investment Company. The Company is not, and is not an Affiliate of, an “investment company” "Investment Company" within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Stock Purchase Agreement (Hoovers Inc), Stock Purchase Agreement (Hoovers Inc)
Investment Company. The Company is not, and is not an Affiliate Affiliates of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Subscription Agreement (Neutron Enterprises Inc), Subscription Agreement (Neutron Enterprises Inc)
Investment Company. The Company is not, and is not an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 2 contracts
Samples: Securities Purchase Agreement (Accelr8 Technology Corp), Securities Purchase Agreement (Livedeal Inc)
Investment Company. The Company is not, and is not an Affiliate of, an “investment company” or controlled by an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Amendment and Exchange Agreement (Qiao Xing Universal Telephone Inc), Securities Purchase Agreement (Qiao Xing Mobile Communication Co., Ltd.)
Investment Company. The Company is not, and is not an Affiliate of, and after giving effect to the offer and sale of the Shares will not have become, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (China Gerui Advanced Materials Group LTD), Securities Purchase Agreement (China TransInfo Technology Corp.)
Investment Company. The Company is not, and is not an Affiliate of, an “investment company” within the meaning of the United States Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Share Subscription Agreement (Qihoo 360 Technology Co LTD), Share Subscription Agreement (A-Max Technology LTD)
Investment Company. The Company is not, and is not an Affiliate of, an “investment companyInvestment Company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (BitNile Holdings, Inc.), Securities Purchase Agreement (BitNile Holdings, Inc.)
Investment Company. The Company is not, and is not 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 subject to the Investment Company Act.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Diomed Holdings Inc), Securities Purchase Agreement (Diomed Holdings Inc)
Investment Company. The Company is not, and is not an Affiliate "affiliate person" of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Convertible Debenture Purchase Agreement (Fix Corp International Inc), Convertible Debenture Purchase Agreement (Fix Corp International Inc)
Investment Company. The Company is not, and is not an Affiliate (as defined ------------------ in Rule 405 under the Securities Act) of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, and is not 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 subject to the Investment Company Act.
Appears in 1 contract
Investment Company. The Company is and its Subsidiaries are not, and is are not an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, and is not an Affiliate of, ------------------ of an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, ------------------ and is not an Affiliate (as defined in Rule 405 under the 1933 Act) of, an “"investment company” xxxxxxx" within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Subscription Agreement (Goldspring)
Investment Company. The Company is not, and is not an Affiliate affiliate ------------------- of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Charys Holding Co Inc)
Investment Company. The Company is not, and is not an Affiliate of------------------ Affiliate, as that term is defined in Section 3.10, of an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, and is not an Affiliate affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.. (bb)
Appears in 1 contract
Investment Company. The Company is not, and is not an Affiliate of, of an “"investment company” " within the meaning of the U.S. Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Radiate Research, Inc.)
Investment Company. The Company is not, and is not an Affiliate affiliate of, an “------------------ "investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company Corporation is not, and is not an Affiliate of, an “"investment company” " within the meaning of the United States Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Share Purchase Agreement (Activecore Technologies Inc)
Investment Company. The Company is not, and is not an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended..
Appears in 1 contract
Samples: Equity Purchase Agreement (Digital Brands Group, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, an “"investment company” " ------------ ------------------ within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Series B Preferred Stock Purchase Agreement (Camden Partners Strategic Ii LLC)
Investment Company. The Company is not, and nor is not an Affiliate ofany of its Affiliates, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is and Xxxxxx are not, and is are not an Affiliate "affiliate" of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Subscription Agreement (Alternative Energy Sources Inc)
Investment Company. The Company is not, and is not an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.. (u)
Appears in 1 contract
Investment Company. The Company is not, and is not an Affiliate of, an “------------------ "investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, and is not an Affiliate affiliate of, an “investment company” or controlled by an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Note and Warrant Purchase Agreement (Kongzhong Corp)
Investment Company. The Company is not, and is not an Affiliate ofcontrolled by, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.. 8
Appears in 1 contract
Samples: Convertible Preferred Stock Purchase Agreement (Psinet Inc)
Investment Company. The Company is not, and is not an Affiliate of, an “"investment company” within the meaning of ", as defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Reimbursement Agreement (Central Louisiana Electric Co Inc)
Investment Company. The Company is not, and is not an Affiliate of, of an “------------------ "investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, and following the ------------------ issuance of the Convertible Debentures and the Shares will not be, nor is not it an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Convertible Debenture and Convertible Preferred Stock Purchase Agreement (Tamboril Cigar Co)
Investment Company. The Company is not, and is not 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 subject to the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, and is ------------------ not an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Zoltek Companies Inc)
Investment Company. The Company is not, and is not an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”). After giving effect to the transactions contemplated by this Agreement, the Company will not be, and will not be an Affiliate of, an “investment company” within the meaning of the Investment Company Act.
Appears in 1 contract
Investment Company. The Company is not, and is not 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 1 contract
Samples: Underwriting Agreement (AquaBounty Technologies, Inc.)
Investment Company. The Company is not, and is not an Affiliate ------------------ of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Act Teleconferencing Inc)
Investment Company. The Company is not, and is not an Affiliate of, an “investment company” within the meaning of as defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, and is not an Affiliate (as defined in Rule 405 under the 1933 Act) of, an “"investment company” cxxxxxx" within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Subscription Agreement (Tissera Inc)
Investment Company. The Company is not, not and is not an Affiliate (as defined in Rule 405 under the Securities Act) of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (General Datacomm Industries Inc)
Investment Company. The Company is not, and is not an Affiliate of, an “"investment company” " ------------------- within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, and is not ------------------ an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Zoltek Companies Inc)
Investment Company. The Company is and Xxxxxx are not, and is are not an Affiliate “affiliate” of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Subscription Agreement (Alternative Energy Sources Inc)
