Investment Company. The Company is not, and neither the offer or sale of the Shares nor any of the activities of the Company will cause the Company to be, an “investment company” or under the control of an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 98 contracts
Samples: Dealer Manager Agreement (NexPoint Real Estate Finance, Inc.), Soliciting Dealer Agreement (Inland Residential Properties Trust, Inc.), Dealer Manager Agreement (Braemar Hotels & Resorts Inc.)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Securities, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the Investment Company Act of 1940, as amended.
Appears in 70 contracts
Samples: Securities Purchase Agreement (Smith Micro Software, Inc.), Securities Purchase Agreement (Smith Micro Software, Inc.), Securities Purchase Agreement (Eyenovia, Inc.)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any Purchased Shares, the consummation of the activities Offering and the application of the Company proceeds hereof and thereof, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the U.S. Investment Company Act of 1940, as amended.
Appears in 38 contracts
Samples: Subscription Agreement (Adlai Nortye Ltd.), Subscription Agreement (Adlai Nortye Ltd.), Subscription Agreement (First High-School Education Group Co., Ltd.)
Investment Company. The Company is not, and neither the offer is not controlled by or sale of the Shares nor any of the activities of the Company will cause the Company to beunder common control with an affiliate of, an “"investment company” or under " within the control meaning of an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 37 contracts
Samples: Subscription Agreement (Centura Software Corp), Preferred Stock Purchase Agreement (Alarmguard Holdings Inc), Securities Purchase Agreement (Queen Sand Resources Inc)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Shares, will cause the Company to be, an “investment company” or under the control of not be an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 34 contracts
Samples: Securities Purchase Agreement (Seres Therapeutics, Inc.), Cytokinetics, Incorporated (Cytokinetics Inc), Form of Securities Purchase Agreement (Seres Therapeutics, Inc.)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Securities, will cause the Company to be, an “investment company” or under the control of not be an “investment company” as such terms are term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”). The Company shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 25 contracts
Samples: Common Stock Purchase Agreement (Bionano Genomics, Inc), Securities Purchase Agreement (Orexigen Therapeutics, Inc.), Securities Purchase Agreement (ARCA Biopharma, Inc.)
Investment Company. The Company is not, and neither the offer or sale of the Shares Units nor any of the activities of the Company will cause the Company to be, an “investment company” or under the control of an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 14 contracts
Samples: Dealer Manager Agreement (Investment Grade R.E. Income Fund, L.P.), Dealer Manager Agreement (GWG Holdings, Inc.), Dealer Manager Agreement (GWG Life, LLC)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Shares, will cause the Company to be, an “investment company” or under the control of not be an “investment company” as such terms are term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”). The Company shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 12 contracts
Samples: Securities Purchase Agreement (Commerce Union Bancshares, Inc.), Securities Purchase Agreement (FB Financial Corp), Securities Purchase Agreement (NRG Energy, Inc.)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Securities, will cause the Company to be, an “investment company” or under the control of not be an “investment company” as such terms are term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”). The Company has no commitments or plans with respect to operating its business that would cause it to become subject to the Investment Company Act.
Appears in 11 contracts
Samples: Securities Purchase Agreement (Tracon Pharmaceuticals, Inc.), Securities Purchase Agreement (Tracon Pharmaceuticals, Inc.), Securities Purchase Agreement (Yuma Regional Medical Center)
Investment Company. The Company is notnot and, after giving effect to the issuance and neither the offer or sale of the Shares nor any Purchased Shares, the consummation of the activities issuance and sale and the application of the Company proceeds hereof and thereof, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the U.S. Investment Company Act of 1940, as amended.
Appears in 9 contracts
Samples: Subscription Agreement (Caissa Sega Tourism Culture Development Group Co., Ltd.), Subscription Agreement (BHR Winwood Investment Management LTD), Subscription Agreement (Jupai Holdings LTD)
Investment Company. The Company is not, and neither the offer or sale of the Common Shares nor any of the activities of the Company will cause the Company to be, an “investment company” or under the control of an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 8 contracts
Samples: Dealer Manager Agreement (Lightstone Value Plus Real Estate Investment Trust III, Inc.), Dealer Manager Agreement (Lightstone Real Estate Income Trust Inc.), Dealer Manager Agreement (Lightstone Real Estate Income Trust Inc.)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any Purchased Shares, the consummation of the activities Offering and the application of the Company proceeds hereof thereof, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the U.S. Investment Company Act of 1940, as amended.
Appears in 8 contracts
Samples: Subscription Agreement (Chindata Group Holdings LTD), Subscription Agreement (Secoo Holding LTD), Subscription Agreement (Secoo Holding LTD)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any Subscription Shares, the consummation of the activities Offering and the application of the Company proceeds hereof thereof, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the U.S. Investment Company Act of 1940, as amended.
Appears in 7 contracts
Samples: Subscription Agreement (Bitauto Holdings LTD), Subscription Agreement (Tencent Holdings LTD), Subscription Agreement (JD.com, Inc.)
Investment Company. The Company is not, and neither the offer or sale of the Shares Units nor any of the activities of the Company will cause the Company to be, an “investment company” or under the control of an “investment company” ”, as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Dealer Manager Agreement (Preferred Apartment Communities Inc), Dealer Manager Agreement (Preferred Apartment Communities Inc), Dealer Manager Agreement (Preferred Apartment Communities Inc)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Shares, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Subscription Agreement (Powerfleet, Inc.), Subscription Agreement (Usa Technologies Inc), Securities Purchase Agreement (Sonim Technologies Inc)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any Securities and the application of the activities of the Company net proceeds thereof, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Backstop Commitment Purchase Agreement (Delcath Systems, Inc.), Backstop Commitment Purchase Agreement (Delcath Systems, Inc.), Backstop Commitment Purchase Agreement (Delcath Systems, Inc.)
Investment Company. The Company is not, and neither the offer or sale of the Shares nor any of the activities of the Company will cause the Company to be, not an “"investment company” or under the control of an “investment company” ", as such terms are defined in the Investment Company Act of 1940, as amended, nor is the Company controlled by an "investment company."
Appears in 4 contracts
Samples: Purchase Agreement (Prime Group Realty Trust), Preferred Securities (Prime Group Realty Trust), Exchange Agreement (Westfield Holdings LTD /)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale issuance of the Shares nor any of the activities of the Company Shares, will cause the Company to be, an “investment company” or under the control of not be an “investment company” as such terms are term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”). The Company shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 4 contracts
Samples: Securities Subscription Agreement, Securities Subscription Agreement, Securities Subscription Agreement (Amarin Corp Plc\uk)
Investment Company. The Company is not, and neither after giving effect to the offer or offering and sale of the Shares nor any Securities hereunder and the application of the activities of the Company proceeds thereof as described in this Agreement will cause the Company to not be, an “"investment company” or under the control of an “investment company” " as such terms are term is defined in the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Divine Inc), Preferred Stock Purchase Agreement (BFC Financial Corp), Securities Purchase Agreement (Divine Inc)
Investment Company. The Company is not, and neither upon the offer or issuance and sale of the Preferred Shares nor any of the activities of the Company as herein contemplated will cause the Company to not be, an “"investment company” " or under the control of an “Entity "controlled" by an "investment company” " as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Investment Agreement (Pacific Gulf Properties Inc), Investment Agreement (Pacific Gulf Properties Inc), Investment Agreement (Lexington Corporate Properties Inc)
Investment Company. The Company is not, and neither after giving effect to the offer or sale of the Shares nor any Securities and the application of the activities of the Company net proceeds therefrom, will cause the Company to not be, an “investment company” or under within the control meaning of an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended, or an Affiliate of an “investment company.”
Appears in 4 contracts
Samples: Securities Purchase Agreement (Clarient, Inc), Securities Purchase Agreement (Clarient, Inc), Securities Purchase Agreement (National Storm Management Inc.)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any Subscription Shares, the consummation of the activities offering and the application of the Company proceeds hereof, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the U.S. Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Subscription Agreement, Subscription Agreement (Tencent Holdings LTD), Subscription Agreement (JD.com, Inc.)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Shares, will cause the Company to be, not be an “investment company” or under or, to the control of Company’s knowledge, an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended.Act
Appears in 3 contracts
Samples: Underwriting Agreement (Bioheart, Inc.), Underwriting Agreement (Bioheart, Inc.), Underwriting Agreement (Bioheart, Inc.)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Shares, will cause the Company to be, an “investment company” or under the control of not be an “investment company” as such terms are term is defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (EPIX Pharmaceuticals, Inc.), Securities Purchase Agreement (Acorda Therapeutics Inc), Securities Purchase Agreement (Acorda Therapeutics Inc)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any Purchased Shares, the consummation of the activities offer and the application of the Company proceeds hereof and thereof, will cause the Company to be, an “investment company” or under the control of not be an “investment company” as such terms are term is defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Subscription Agreement (Valueone Inc), Subscription Agreement (Valueone Inc)
Investment Company. The Company is notnot and, and neither after giving effect to the offer or sale of the Shares nor any Purchased Shares, and the application of the activities of the Company proceeds hereof, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the U.S. Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Share Purchase Agreement (LakeShore Biopharma Co., Ltd.), Share Purchase Agreement (Wong Fung Ching)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Shares, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the Investment Company Act of 1940, as amended, and will not be an entity “controlled” by an “investment company” within the meaning of such Act.
Appears in 2 contracts
Samples: Agency Agreement (Aradigm Corp), Agency Agreement (Aradigm Corp)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Units, will cause the Company to be, an “investment company” or under the control of not be an “investment company” as such terms are term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”). 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 (Saratoga Resources Inc /Tx), Securities Purchase Agreement (Saratoga Resources Inc /Tx)
Investment Company. The Company is not, and neither the offer or sale of the Shares nor any of the activities of the Company will cause the Company to be, an ““ investment company” or under the control of an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Exclusive Dealer Manager Agreement (RCS Capital Corp), Exclusive Dealer Manager Agreement (American Realty Capital Daily Net Asset Value Trust, Inc.)
Investment Company. The Company is notnot and, after giving effect to the Offering and neither the offer or sale of the Shares nor any of the activities of the Company Shares, will cause the Company to be, an “investment company” or under the control of not be an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Common Stock Purchase Agreement (Modular Medical, Inc.), Common Stock Purchase Agreement (Modular Medical, Inc.)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any and the application of the activities of the Company net proceeds thereof, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Quest Resource Holding Corp), Placement Agency Agreement (Quest Resource Holding Corp)
Investment Company. The Company is not, and neither upon the offer or issuance and sale of the Preferred Shares nor any of the activities of the Company and Warrant as herein contemplated will cause the Company to not be, an “"investment company” " or under the control of an “Entity "controlled" by an "investment company” " as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Investment Agreement (Brandywine Realty Trust), Investment Agreement (Five Arrows Realty Securities L L C)
Investment Company. The Company is not, and neither the offer or sale of the Shares Units nor any of the activities of the Company will cause the Company to be, an “investment company” or under the control of an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.. (l)
Appears in 2 contracts
Samples: www.sec.gov, www.sec.gov
Investment Company. The Company is not, and neither after giving effect to the offer or sale of the Shares nor any and the application of the activities of the Company net proceeds therefrom, will cause the Company to not be, an “investment company” or under within the control meaning of an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended, or an Affiliate of an “investment company.”
Appears in 2 contracts
Samples: Purchase Agreement (Central European Distribution Corp), Purchase Agreement (Central European Distribution Corp)
Investment Company. The Company is not, and neither upon the offer or issuance and sale of the Shares nor any as herein contemplated and the application of the activities of the Company net proceeds therefrom will cause the Company to not be, an “"investment company” " or under the control of an “entity "controlled" by an "investment company” " as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Common Stock Purchase Agreement (Corvas International Inc), Common Stock Purchase Agreement (Corvas International Inc)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any Purchased Shares, the consummation of the activities offering and the application of the Company proceeds hereof, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the U.S. Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Share Purchase Agreement (Secoo Holding LTD), Share Purchase Agreement (Qudian Inc.)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any and the application of the activities of the Company proceeds thereof, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: South Financial (South Financial Group Inc), Purchase Agreement (South Financial Group Inc)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any and the application of the activities of the Company proceeds thereof, will cause the Company to not be, an “investment company” or under the control of an “investment company” as such terms are term is defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Terms Agreement (PHX Minerals Inc.)
Investment Company. The Company is not, and neither upon consummation of the offer or sale of the Shares nor any of the activities of the Company Securities will cause the Company to not be, an “investment company,” an affiliate of an “investment company,” a company controlled by an “investment company” or under the control of an “affiliated person” of, or “promoter” or “principal underwriter” for, an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, and neither the offer or sale of the Shares nor any of the activities of the Company will cause the Company to be, an “investment company” or under the control of an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Exclusive Dealer Manager Agreement (Grubb & Ellis Healthcare REIT, Inc.)
Investment Company. The Company is not, and neither the offer or sale of the Shares Preferred Stock nor any of the activities of the Company will cause the Company to be, an “investment company” or under the control of an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Dealer Manager Agreement (Preferred Apartment Communities Inc)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Shares, will cause the Company to be, not be an “"investment company” or under the control of an “investment company” " as such terms are term is defined in the Investment Company Act of 1940, as amendedamended (the "Investment Company Act"). 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
Samples: Securities Purchase Agreement (Fuelcell Energy Inc)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any Company Shares, the consummation of the activities Offering and the application of the Company proceeds hereof and thereof, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the U.S. Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, and neither the offer or sale of the Shares Units nor any of the activities of the Company will cause the Company to be, an “investment company” or under the control of an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Dealer Manager Agreement (Stratstone/Bluegreen Secured Income Fund, LLC)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Preferred Shares, will cause the Company to be, an “investment company” or under the control of not be an “investment company” as such terms are term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”). 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
Samples: Securities Purchase Agreement (Bioject Medical Technologies Inc)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Shares, will cause the Company to be, an “investment company” or under the control of not be an “investment company” as such terms are term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 1 contract
Samples: Securities Purchase Agreement (Business First Bancshares, Inc.)
Investment Company. The Neither the Company is notnor any of its subsidiaries is, and, after giving effect to the offering and neither the offer or sale of the Shares nor any Securities and the application of the activities of the Company proceeds thereof, will cause the Company to not be, required to register as an “"investment company” " or under the control of an “entity controlled by an investment company” company as such terms are term is defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
