Investment Company. The Company is not an "investment company" or an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company, within the meaning of the Investment Company Act of 1940, as amended.
Appears in 129 contracts
Samples: Securities Purchase Agreement (Neurogen Corp), Purchase Agreement (Staar Surgical Company), Purchase Agreement (Staar Surgical Company)
Investment Company. The Company is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" ” for an investment company, within the meaning of the Investment Company Act of 1940, as amended.
Appears in 94 contracts
Samples: Placement Agency Agreement (Akers Biosciences Inc), Investment Agreement (Revolution Lighting Technologies, Inc.), Placement Agency Agreement (Diffusion Pharmaceuticals Inc.)
Investment Company. The Company (including its subsidiaries) is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" ” for an investment company, within the meaning of the Investment Company Act of 1940, 1940 and will not be deemed an “investment company” as amendeda result of the transactions contemplated by this Agreement.
Appears in 43 contracts
Samples: Common Stock Purchase Agreement (Arena Group Holdings, Inc.), Common Stock Purchase Agreement (HyreCar Inc.), Common Stock Purchase Agreement (Drone Aviation Holding Corp.)
Investment Company. The Company is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" ” for an investment company, within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission promulgated thereunder.
Appears in 30 contracts
Samples: Purchase Agreement, Purchase Agreement (Salon Media Group Inc), Purchase Agreement (Salon Media Group Inc)
Investment Company. The Company is not an "“investment company" ” or a company “controlled” by an "affiliated person" of, or "promoter" or "principal underwriter" for an “investment company, ,” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 16 contracts
Samples: Note Purchase Agreement, Stock Purchase Agreement, Series B Preference Share and Warrant Purchase Agreement (CloudMinds Inc.)
Investment Company. The Company is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" ” for an investment company, within the meaning of the Investment Company Act of 1940, as amended, and will not be deemed an “investment company” as a result of the transactions contemplated by this Agreement.
Appears in 15 contracts
Samples: Convertible Subordinated Note Purchase Agreement (MobileSmith, Inc.), Securities Purchase Agreement (Quantum Fuel Systems Technologies Worldwide Inc), Securities Purchase Agreement (Symbollon Corp)
Investment Company. The Company is not an "“investment company" ” or a Person directly or indirectly “controlled” by or acting on behalf of an "affiliated person" of, or "promoter" or "principal underwriter" for an “investment company”, in each case within the meaning of the Investment Company Act of 1940, as amendedAct.
Appears in 10 contracts
Samples: Business Combination Agreement (Acri Capital Acquisition Corp), Business Combination Agreement (DUET Acquisition Corp.), Business Combination Agreement (Prime Number Holding LTD)
Investment Company. The Company is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" ” for an investment company, within the meaning of the Investment Company Act of 1940, 1940 and will not be deemed an “investment company” as amendeda result of the transactions contemplated by this Agreement.
Appears in 10 contracts
Samples: Common Stock and Warrant Purchase Agreement (NEUROONE MEDICAL TECHNOLOGIES Corp), Subscription Agreement (Flux Power Holdings, Inc.), Subscription Agreement (Flux Power Holdings, Inc.)
Investment Company. The Company is not an "investment company" or an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company, within the meaning of the Investment Company Act of 1940, as amended, and will not be deemed an "investment company" as a result of the transactions contemplated by this Agreement.
Appears in 9 contracts
Samples: Securities Purchase Agreement (NF Energy Saving Corp), Securities Purchase Agreement (Quantum Fuel Systems Technologies Worldwide Inc), Securities Purchase Agreement (China Energy Recovery, Inc.)
Investment Company. The Company is not an "investment company" or a company "controlled" by an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company, " within the meaning of the Investment Company Act of 1940, as amended, or a "holding company", a "subsidiary company" of a "holding company" or an "affiliate" of a "holding company" or a "public utility" within the meaning of the Public Utility Holding Company Act of 1935, as amended.
Appears in 7 contracts
Samples: Merger Agreement (Regent Group Inc /De), Stock Purchase and Sale Agreement (Omni Energy Services Corp), Stock Purchase and Sale Agreement (Omni Energy Services Corp)
Investment Company. The Company is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" for ” for, an “investment company, within the meaning of ,” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 7 contracts
Samples: Underwriting Agreement (NGAS Resources Inc), Securities Purchase Agreement (Raptor Pharmaceutical Corp), Securities Purchase Agreement (Raptor Pharmaceutical Corp)
Investment Company. The Company is not an "“investment company" ,” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" for ” for, an “investment company, within the meaning of ,” as such terms are defined in the Investment Company Act of 1940, as amended. Neither the making of the Loan or the application of the proceeds or repayment thereof by the Company, nor the consummation of the other transactions contemplated by this Agreement or the other Loan Documents, will violate any provision of such Act or any rule, regulation or order of the Securities and Exchange Commission there under.
Appears in 7 contracts
Samples: Loan and Security Agreement (Digerati Technologies, Inc.), Loan and Security Agreement (Atsi Communications Inc/De), Loan and Security Agreement (Atsi Communications Inc/De)
Investment Company. The Company is not an "“investment company" ” or an "affiliated person" of, “promoter” or "promoter" or "“principal underwriter" ” for an investment company, within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Securities and Exchange Commission (the “Commission”) promulgated thereunder.
Appears in 6 contracts
Samples: Purchase Agreement, Subscription Agreement (Flotek Industries Inc/Cn/), Purchase Agreement (Acacia Research Corp)
Investment Company. The Company is not an "investment company" or an entity "affiliated personcontrolled" of, or by an "promoter" or "principal underwriter" for an investment company, within the meaning of ," as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Underwriting Agreement (Pericom Semiconductor Corp), Underwriting Agreement (Softworks Inc), Underwriting Agreement (Softworks Inc)
Investment Company. The Company is not an "investment company" or an "affiliated person" of, or "promoter" or "principal underwriter" for for, an investment company, within the meaning of the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Common Stock and Warrant Purchase Agreement (MPM Bio Ventures Iii Lp), Common Stock and Warrant Purchase Agreement (Frazier Healthcare Ii Lp), Stock Purchase Agreement (Safeguard Scientifics Inc Et Al)
Investment Company. The Company is not an "investment company" or a company "controlled" by an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company, ," within the meaning of the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Stock Purchase Agreement (Brightstar Information Technology Group Inc), Stock Purchase Agreement (GAS Investment China Co., LTD), Stock Purchase Agreement (Brightstar Information Technology Group Inc)
Investment Company. The Company is not an "investment company" or a company controlled by an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company, " within the meaning of the Investment Company Act of 1940, as amended, or is exempt from all provisions of such act.
Appears in 5 contracts
Samples: Merger Agreement (Mercantile Stores Co Inc), Merger Agreement (Dillard Department Stores Inc), Merger Agreement (Dillard Department Stores Inc)
Investment Company. The Company is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" ” for an investment company, within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission promulgated thereunder, and shall conduct its business in a manner so that it will not become required to be registered as an “investment company” under the Investment Company Act.
Appears in 5 contracts
Samples: Securities Purchase Agreement (SFX Entertainment, INC), Securities Purchase Agreement (SFX Entertainment, INC), Warrant Purchase Agreement (Corcept Therapeutics Inc)
Investment Company. The Company is not an "investment company" or a company controlled by an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company, " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Credit Agreement (Ladish Co Inc), Credit Agreement (Bando McGlocklin Capital Corp), Credit Agreement (Bando McGlocklin Capital Corp)
Investment Company. The Company is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" ” for an investment company, within the meaning of the Investment Company Act of 1940, as amended, and will not be deemed an “investment company” as a result of the transactions contemplated by this Agreement or as a result of the conduct of its business.
Appears in 4 contracts
Samples: Securities Purchase Agreement (EnteroMedics Inc), Securities Purchase Agreement (EnteroMedics Inc), Securities Purchase Agreement (NeuroMetrix, Inc.)
Investment Company. The Company is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" for ” for, an “investment company, within the meaning of ,” as such terms are defined in the Investment Company Act of 1940, as amended, nor is the Company, directly or indirectly, controlled by or acting on behalf of any Person that is an “investment company” within the meaning of such act.
Appears in 4 contracts
Samples: Series a Preferred Stock Purchase Agreement (Xstream Systems Inc), Series a Preferred Stock Purchase Agreement (Xstream Systems Inc), Series D Preferred Stock Purchase Agreement (Xstream Systems Inc)
Investment Company. The Company is not an "investment company" ", or an "affiliated person" ofof an "investment company", or a company "promotercontrolled" or by an "principal underwriter" for an investment company, within the meaning of " as such terms are defined in the Investment Company Act of 1940, as amended, and the Company is not an "investment adviser" or an "affiliated person" of an "investment adviser" as such terms are defined in the Investment Advisers Act of 1940, as amended.
Appears in 4 contracts
Samples: Preferred Stock Purchase Agreement (State Communications Inc), Preferred Stock Purchase Agreement (State Communications Inc), Preferred Stock Purchase Agreement (State Communications Inc)
Investment Company. The Company is not an "“investment company" ” or a company “controlled” by an "affiliated person" of, or "promoter" or "principal underwriter" for an “investment company, ” within the meaning of the Investment Company Act of 1940, as amendedor the regulations under such act.
Appears in 4 contracts
Samples: Loan Agreement (Gazit-Globe LTD), Loan Agreement (Gazit-Globe LTD), Loan Agreement (Gazit-Globe LTD)
Investment Company. The Company is not an "“investment company" ” or an "“affiliated person" of, or "promoter" or "principal underwriter" for ” of an investment company, within the meaning of the Investment Company Act of 1940, as amended, and will not be deemed an “investment company” as a result of the transactions contemplated by this Agreement.
Appears in 4 contracts
Samples: Securities Purchase Agreement (DARA BioSciences, Inc.), Securities Purchase Agreement (DARA BioSciences, Inc.), Securities Purchase Agreement (3d Systems Corp)
Investment Company. The Company is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" ” for an investment company, within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Securities and Exchange Commission (the “Commission”) promulgated thereunder.
Appears in 4 contracts
Samples: Purchase Agreement (Cytrx Corp), Purchase Agreement (Abengoa Sa), Purchase Agreement (Telvent Git S A)
Investment Company. The Company is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" ” for an investment company, within the meaning of the Investment Company Act of 1940, as amended, and will not be deemed an “investment company” as a result of the transactions contemplated by the Agreements.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Medwave Inc), Securities Purchase Agreement (Quantum Fuel Systems Technologies Worldwide Inc), Securities Purchase Agreement (Quantum Fuel Systems Technologies Worldwide Inc)
Investment Company. The Company is not an "“investment company" ,” a company controlled by an “investment company,” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" for ” for, an “investment company, within the meaning of ,” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Merger Agreement (Flag Ship Acquisition Corp), Business Combination Agreement (Squirrel Enlivened International Co., LTD), Merger Agreement (Longevity Acquisition Corp)
Investment Company. The Company is not an "investment company" or an entity "affiliated personcontrolled" of, or by an "promoter" or "principal underwriter" for an investment company, within the meaning of " as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Debenture Purchase Agreement (CHS Electronics Inc), Note Purchase Agreement (System Software Associates Inc), Debenture Purchase Agreement (Computer Associates International Inc)
Investment Company. The Company (including its subsidiaries) is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" ” for an investment company, within the meaning of the Investment Company Act of 1940, 1940 and will not be deemed an “investment company” as amendeda result of the transactions contemplated by the Purchase Agreement.
Appears in 3 contracts
Samples: Placement Agency Agreement, Placement Agency Agreement (Monaker Group, Inc.), Placement Agency Agreement (Magnegas Corp)
Investment Company. The Company is not an "“investment company" ,” an affiliate of an “investment company,” a company controlled by an “investment company” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" for ” for, an “investment company, ,” within the meaning of such terms under the Investment Company Act of 1940, as amendedamended (the “1940 Act”), and the rules and regulations of the SEC thereunder, and the Company will not be or be required to register as any of the foregoing under the 1940 Act after giving effect to the transactions contemplated by this Agreement.
Appears in 3 contracts
Samples: Subscription Agreement (Eaturna LLC), Subscription Agreement (Eaturna LLC), Subscription Agreement (Grill Concepts Inc)
Investment Company. The Company is not an "investment company" or a company "controlled" by an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company, " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Convertible Note Purchase Agreement (Thrupoint Inc), Term Loan Agreement (Williams Companies Inc), Term Loan Agreement (Williams Companies Inc)
Investment Company. The Company is not an "“investment company" ”, or an "“affiliated person" of” of an “investment company”, or "promoter" or "principal underwriter" for a company “controlled” by an “investment company, within the meaning of ” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Merger Agreement, Stock Purchase Agreement (Brown Shoe Co Inc), Agreement and Plan of Merger (Memc Electronic Materials Inc)
Investment Company. The Company is not an "investment ------------------- company" or an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company, within the meaning of the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Purchase Agreement (Lifecell Corp), Securities Purchase Agreement (Lifecell Corp), Securities Purchase Agreement (Lifecell Corp)
Investment Company. The Company is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" ” for an investment company, within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC promulgated thereunder, and the Company does not sponsor any person that is such an “investment company.”
Appears in 3 contracts
Samples: Side Letter (MedicaMetrix, Inc/De), Side Letter (MedicaMetrix, Inc/De), Series B Preferred Stock Purchase Agreement (MedicaMetrix, Inc/De)
Investment Company. The Company is not an "investment company" or an "affiliated person" of, or "promoter" or "principal underwriter" for an "investment company, within the meaning of ," as such terms are defined in the Investment Company Act of 1940, as amended, and the rules and regulations thereunder.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Aurora Foods Inc /De/), Note Purchase Agreement (Fenway Partners Capital Ii L P), Note Purchase Agreement (Aurora Foods Inc /De/)
Investment Company. The Company is not an "“investment company" ,” or an "“affiliated person" of, or "promoter" or "principal underwriter" for ” of an “investment company, within the meaning of ,” or a company “controlled” by an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Membership Interest Purchase Agreement (LightBeam Electric Co), Merger Agreement (LightBeam Electric Co)
Investment Company. The Company is not an "investment companyInvestment Company" or a company controlled by an "affiliated personInvestment Company" of, or "promoter" or "principal underwriter" for an investment company, within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Subordinated Loan and Investment Agreement (William Blair Mezzanine Capital Partners Ii LLC /Adv), Subordinated Loan and Investment Agreement (Compudyne Corp)
Investment Company. The Company is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" ” for an investment company, within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations promulgated thereunder.
Appears in 2 contracts
Samples: Note Purchase Agreement (Micro Therapeutics Inc), Note Purchase Agreement (Micro Therapeutics Inc)
Investment Company. The Company is not an "investment company" or a company "controlled" by an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company", within the meaning of the Investment Company Act of 1940, as amendedamended (the "1940 Act").
Appears in 2 contracts
Samples: Series a Convertible Preferred Stock Purchase Agreement (Enterworks Inc), Stock Purchase Agreement (Sourcinglink Net Inc)
Investment Company. The Company is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" for ” for, an investment company, within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Purchase Agreement (Metasolv Inc), Common Stock and Warrant Purchase Agreement (Rigel Pharmaceuticals Inc)
Investment Company. The Company is not an "investment company" ", or an "affiliated person" ofof an "investment company", or a company "promotercontrolled" or by an "principal underwriter" for an investment company, within the meaning of " as such terms are defined in the Investment Company Act of 1940, as amended, and the Company is not an "investment advisor" or an "affiliated person" of an "investment adviser" as such terms are defined in the Investment Advisers Act of 1940, as amended.
Appears in 2 contracts
Samples: Stock Purchase Agreement (Sykes Enterprises Inc), Stock Purchase Agreement (Systemsoft Corp)
Investment Company. The Company is not an "investment company" or a company "controlled" by an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company", within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Reimbursement and Security Agreement (Open Plan Systems Inc), Class a Common Stock Purchase Agreement (Mail Com Inc)
Investment Company. The Company is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" ” for an investment company, within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC promulgated thereunder.
Appears in 2 contracts
Samples: Purchase Agreement (Novatel Wireless Inc), Securities Purchase Agreement (Trans1 Inc)
Investment Company. The Company is not an "investment company" ------------------ or an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company, within the meaning of the Investment Company Act of 1940, as amended, and will conduct its business in a manner such that it will not become subject to such Act.
Appears in 2 contracts
Samples: Purchase Agreement (Trimeris Inc), Purchase Agreement (Trimeris Inc)
Investment Company. The Company is not an "investment company," a company controlled by an "investment company" or an "affiliated person" of, or "promoter" or "principal underwriter" for for, an "investment company, within the meaning of " as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (PNG Ventures Inc), Securities Purchase Agreement (Sandell Asset Management Corp)
Investment Company. The Company is not an "investment company" ------------------ or an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company, within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Purchase Agreement (Transmedia Network Inc /De/), Purchase Agreement (Curis Inc)
Investment Company. The Company is not an "investment company" or an "affiliated person" of, or "promoter" or "principal underwriter" for for, an "investment company, within the meaning of ," as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Note Purchase Agreement (Cygnus Inc /De/), Placement Agency Agreement (Epimmune Inc)
Investment Company. The Company is not an "investment company" or an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company, within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations promulgated thereunder.
Appears in 2 contracts
Samples: Note Purchase Agreement (Micro Investment LLC), Note Purchase Agreement (Micro Investment LLC)
Investment Company. The Company is not an "investment company" or an "affiliated person" of, or "promoter" promoter or "principal underwriter" for an investment company, within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Dov Pharmaceutical Inc), Securities Purchase Agreement (Dov Pharmaceutical Inc)
Investment Company. The Company is not an "investment company," or an "affiliated personperson of" of, or "promoter" or "principal underwriter" for of an investment company, within the meaning of as those terms are defined in the Investment Company Act of 1940, as amendedamended (the "Investment Company Act").
Appears in 2 contracts
Samples: Share Purchase and Tender Agreement (BMC Software Inc), Share Purchase and Tender Agreement (BMC Software Inc)
Investment Company. The Company is not an "investment company", or a company "controlled" or by an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company", within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Reimbursement Agreement (Pinnacle West Capital Corp), Reimbursement Agreement (Pinnacle West Capital Corp)
Investment Company. The Company (including its Subsidiaries) is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" ” for an investment company, within the meaning of the Investment Company Act of 1940, as amended, and will not be deemed an “investment company” as a result of the transactions contemplated by this Agreement.
Appears in 1 contract
Investment Company. The Company (including its subsidiaries) is not an "investment company" or an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company, within the meaning of the Investment Company Act of 1940, 1940 and will not be deemed an "investment company" as amendeda result of the transactions contemplated by this Agreement.
Appears in 1 contract
Samples: Placement Agency Agreement (Access Integrated Technologies Inc)
Investment Company. The Company is not an "investment company" or a company "controlled" by an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company, ," within the meaning of the Investment investment Company Act Act: of 1940, as amended.
Appears in 1 contract
Samples: Stock Purchase and Investor Rights Agreement (Kraig Biocraft Laboratories, Inc)
Investment Company. The Company is not an "investment company" or an "affiliated person" of, or "promoter" or "principal underwriter" for 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 an "“investment company" ” or an "affiliated person" of, “promoter” or "promoter" or "“principal underwriter" ” for an investment company, within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission promulgated thereunder.
Appears in 1 contract
Investment Company. The Company is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" for ” for, an investment company, within the meaning of the Investment Company Act of 1940, as amended, and will not be deemed an “investment company” within the meaning of such Act as currently in effect as a result of the transactions contemplated by this Agreement.
Appears in 1 contract
Samples: Preferred Stock Purchase Agreement (Columbia Laboratories Inc)
Investment Company. The Company is not an "investment company" or an ------------------ "affiliated person" of, or "promoter" or "principal underwriter" for an investment company, within the meaning of the United States Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company (including its Subsidiaries) is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" ” for an investment company, within the meaning of the Investment Company Act of 1940, 1940 and will not be deemed an “investment company” as amendeda result of the transactions contemplated by this Agreement.
Appears in 1 contract
Investment Company. The Company is not an "“investment company" ,” or an "“affiliated person" of, or "promoter" or "principal underwriter" for ” of an “investment company, within the meaning of ,” or a company “controlled” by an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Stock Sale Agreement (Memc Electronic Materials Inc)
Investment Company. The Company is not, and is not controlled by, an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" ” for an investment company, within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Common Stock and Warrant Purchase Agreement (Orthologic Corp)
Investment Company. The Company is not an "“investment company" or an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company, ” within the meaning of the Investment Company Act of 1940, as amended, nor is the Company directly or indirectly controlled by or acting on behalf of any Person which is an “investment company.”
Appears in 1 contract
Investment Company. The Company is not an "investment company" ------------------ or a company "controlled" by an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company, ," within the meaning of the Investment Company Act of 1940, as amendedamended (the "1940 Act").
Appears in 1 contract
Samples: Series Bb Preferred Stock Purchase Agreement (Blaze Software Inc)
Investment Company. The Company is not an "“investment company" ,” a company controlled by an “investment company,” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" for ” for, an “investment company, within the meaning of ,” as such terms are defined in the Investment Company Act of 1940, as amended.. TABLE OF CONTENTS
Appears in 1 contract
Investment Company. The Company is not an "investment company" or an "affiliated person" of, or "promoter" or "principal underwriter" for for, an "investment company, within the meaning of ," as such terms are defined in the Investment Company Act of 1940, as amendedamended (the "Investment Company Act").
Appears in 1 contract
Investment Company. The Company is not an "investment company" or a company "controlled" by an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company, " within the meaning of the Investment Company Act of 1940, as amended, or an "investment adviser" within the meaning of the Investment Advisers' Act of 1940, as amended.
Appears in 1 contract
Samples: Revolving Credit Agreement (Source One Mortgage Services Corp)
Investment Company. The Company is not an "“investment company" ” or a company “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, or an "affiliated person" of, or "promoter" or "principal underwriter" for an “investment company, advisor” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Cheetah Oil & Gas Ltd.)
Investment Company. The Company is not an "“investment company" ” or a company “controlled” by an "affiliated person" of, or "promoter" or "principal underwriter" for an “investment company, ,” within the meaning meanings of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Common Unit Purchase Agreement (Clean Energy Fuels Corp.)
Investment Company. The Company is not an "investment ------------------ company" or an "affiliated person" of, or "promoter" or "principal underwriter" for 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 an "investment company" or a person directly or indirectly controlled by or acting on behalf of an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company, " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Subscription Agreement (Sap Aktiengesellschaft Systems Applications Products in Data)
Investment Company. The Company is not an "investment company" or an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company, within the meaning of the Investment Company Act of 1940, as amended, and will not be deemed an "investment company" as a result of the transactions contemplated by the Agreements.
Appears in 1 contract
Samples: Securities Purchase Agreement (Global Entertainment Corp)
Investment Company. The Company is not an "investment company" or a company "controlled" by an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company, " within the meaning of the Investment Company Act of 1940, as amended., or a "holding company", a "subsidiary company" of a
Appears in 1 contract
Investment Company. The Company is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" for ” for, an “investment company, within the meaning of ,” as such terms are defined in the Investment Company Act of 1940, as amended, nor is the Company, directly or indirectly, controlled by or acting on behalf of any Person which is an “investment company” within the meaning of such act.
Appears in 1 contract
Samples: Securities Purchase Agreement (Liquidmetal Technologies Inc)
Investment Company. The Company is not an "“ investment company" ” or a company controlled by an "affiliated person" of, or "promoter" or "principal underwriter" for an “investment company, ” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Credit Agreement (Ladish Co Inc)
Investment Company. The Company is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" ” for an investment company, within the meaning of the U.S. Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Share Subscription Agreement (Altair Nanotechnologies Inc)
Investment Company. The Company is not an "investment company" or an "affiliated person" of, or "promoter" or "principal underwriterParticipating Debenture Holders" for an investment company, within the meaning of the Investment Company Act of 1940, as amended.
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Investment Company. The Company (including its subsidiaries) is not an "“investment company" ” or an "“affiliated person" of, or "promoter" or "principal underwriter" for ” of an investment company, company within the meaning of the Investment Company Act of 1940, 1940 and will not be deemed an “investment company” as amendeda result of the transactions contemplated by this Agreement.
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Investment Company. The Company is not (i) an "“investment company" ” or a company “controlled”, whether directly or indirectly, by an "affiliated person" of, or "promoter" or "principal underwriter" for an “investment company”, within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Eastside Distilling, Inc.)
Investment Company. The Company is not an "investment company" or a company "controlled" by an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company, ," within the meaning of the Investment Company Act of 1940, as amendedamended (the "1940 Act").
Appears in 1 contract
Samples: Series C Preferred Stock Purchase Agreement (Petroleum Place Inc)
Investment Company. The Company is not an "“investment company" ,” or a company “controlled” by an "affiliated person" of, or "promoter" or "principal underwriter" for an “investment company, ,” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Equity Purchase Agreement (Western Standard Energy Corp.)
Investment Company. The Company is not an "investment company" or an "affiliated person" of, thereof or an "promoteraffiliated person" or of any such "principal underwriteraffiliated person," for an investment company, within the meaning of as such terms are defined in the Investment Company Act of 1940, as amended.
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Investment Company. The Company is not an "investment company" or an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company, within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission promulgated thereunder.
Appears in 1 contract
Samples: Purchase Agreement (Metalink LTD)
Investment Company. The Company is not an "investment company" or a company "controlled" by an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company, " within the meaning of the Investment Company Act of 1940 or an "investment adviser" within the meaning of the Investment Advisers' Act of 1940, as amended.
Appears in 1 contract
Samples: Revolving Credit Agreement (Source One Mortgage Services Corp)
Investment Company. The Company is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" ” for an investment company, within the meaning of such terms under the Investment Company Act of 1940, as amended1940 and the rules and regulations of the SEC thereunder and will not be deemed an investment company upon the consummation of the transactions contemplated by this Agreement.
Appears in 1 contract
Samples: Securities Purchase Agreement (Genaissance Pharmaceuticals Inc)
Investment Company. The Company (including its Subsidiaries) is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" ” for an investment company, within the meaning of the Investment Company Act of 1940, 1940 and will not be deemed an “investment company” as amendeda result of the consummation of the transactions contemplated by this Agreement.
Appears in 1 contract
Samples: Preferred Stock Purchase Agreement (Gene Biotherapeutics, Inc.)
Investment Company. The Company is not, and is not an "“affiliated person” of, “promoter” or “principal underwriter” for, an “investment company" or an "affiliated person" of, or "promoter" or "principal underwriter" for an investment company, ” within the meaning of the Investment Company Act of 1940, as amended, and will not be deemed an “investment company” as a result of the transactions contemplated by this Agreement.
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Investment Company. The Company is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" ” for an investment company, within the meaning of the Investment Company Act of 1940, as amended. xvii.
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Investment Company. The Company is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" for ” for, an investment company, company within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not an "investment company" or an entity "affiliated personcontrolled" of, or by an "promoter" or "principal underwriter" for 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 an "investment company" or an "affiliated person" of, or "promoter" or "principal underwriter" for of an investment company, within the meaning of the Investment Company Act of 1940, as amended, and will not be deemed an "investment company" as a result of the transactions contemplated by this Agreement.
Appears in 1 contract
Samples: Securities Purchase Agreement (DARA BioSciences, Inc.)
Investment Company. The Company is not an "“investment company" or an "affiliated person" ” of, or "promoter" or "principal underwriter" for an investment company, within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Bonanza Oil & Gas, Inc.)
Investment Company. The Company is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" or "principal underwriter" ” for an investment company, within the meaning of the Investment Company Act of 1940, as amended.
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Investment Company. The Company (including its subsidiary) is not an "“investment company" ” or an "“affiliated person" ” of, or "“promoter" ” or "“principal underwriter" ” for an investment company, within the meaning of the Investment Company Act of 1940, 1940 and will not be deemed an “investment company” as amendeda result of the transactions contemplated by this Agreement.
Appears in 1 contract
Samples: Common Stock Purchase Agreement (Location Based Technologies, Inc.)
Investment Company. The Company is not an "“investment company" ” or controlled by or affiliated with an "affiliated person" of, “investment company” or "promoter" or "a “principal underwriter" for ” of an “investment company, ” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
