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 99 contracts
Samples: Dealer Manager Agreement (Ashford Hospitality Trust Inc), Dealer Manager Agreement (NexPoint Real Estate Finance, Inc.), Dealer Manager Agreement (Inland Residential Properties 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 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 74 contracts
Samples: Securities Purchase Agreement (Momentus Inc.), Securities Purchase Agreement (Eyenovia, 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 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.), Common Stock Option Purchase Agreement (Cytokinetics Inc), 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 26 contracts
Samples: Securities Purchase Agreement, Common Stock Purchase Agreement (Bionano Genomics, Inc), Securities Purchase Agreement (Orexigen Therapeutics, 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
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 defined in the Investment Company Act of 1940, as amended.
Appears in 13 contracts
Samples: Securities Purchase Agreement (Orgenesis Inc.), Securities Purchase Agreement (Orgenesis Inc.), Securities Purchase Agreement (Corindus Vascular Robotics, 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”). 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 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 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 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 7 contracts
Samples: Investment Agreement (Lexington Corporate Properties Inc), Investment Agreement (Pacific Gulf Properties Inc), Investment Agreement (Five Arrows Realty Securities L L C)
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 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 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 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: Preferred Stock Purchase Agreement (BFC Financial Corp), Securities Purchase Agreement (Divine Inc), Securities Purchase Agreement (Divine Inc)
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 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 (JD.com, Inc.), Subscription Agreement (Tencent Holdings LTD)
Investment Company. The Company is not, and neither after giving effect to the offer or and sale of the Preferred Shares nor any of the activities of the Company 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: Dealer Manager Agreement (Creative Media & Community Trust Corp), Dealer Manager Agreement (Creative Media & Community Trust Corp), Dealer Manager Agreement (Creative Media & Community Trust Corp)
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 3 contracts
Samples: Securities Purchase Agreement (Empire Resorts Inc), Securities Purchase Agreement (Mikohn Gaming Corp), Securities Purchase Agreement (Chromavision Medical Systems 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 (Acorda Therapeutics Inc), Securities Purchase Agreement (Acorda Therapeutics Inc), Securities Purchase Agreement (EPIX Pharmaceuticals, 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 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 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 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 (Five Arrows Realty Securities L L C), Investment Agreement (Brandywine Realty Trust)
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: Exclusive Dealer Manager Agreement, Exclusive Dealer Manager Agreement
Investment Company. The Company is notnot and, and neither after giving effect to the offer or and 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 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: Public Offering Underwriting Agreement (NeoStem, Inc.), Public Offering Underwriting Agreement (NeoStem, 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 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 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 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: Placement Agency Agreement (Aradigm Corp), Placement Agency Agreement (Aradigm Corp)
Investment Company. The Company is notnot and, and neither after giving effect to 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 1 contract
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, and neither after giving effect to the offer or and 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 “entity "controlled" by 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 mShares 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 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 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.)
