No Investment Adviser. Neither Company nor any Company Subsidiary serves in a capacity described in Section 9(a) or 9(b) of the Investment Company Act of 1940, as amended, nor acts as an “investment adviser” required to register as such under the Investment Advisers Act of 1940, as amended.
Appears in 6 contracts
Samples: Agreement and Plan of Merger (Axos Financial, Inc.), Agreement and Plan of Merger (Banc of California, Inc.), Agreement and Plan of Merger (First Pactrust Bancorp Inc)
No Investment Adviser. Neither the Company nor any Company Subsidiary serves in a capacity described in Section 9(a) or 9(b) of the Investment Company Act of 1940, as amended, nor acts as an “investment adviser” required to register as such under the Investment Advisers Act of 1940, as amended.
Appears in 2 contracts
Samples: Stock Purchase Agreement (Ameris Bancorp), Purchase and Sale Agreement (Bank of America Corp /De/)
No Investment Adviser. Neither Company nor any Company Subsidiary the Bank serves in a capacity described in Section 9(a) or 9(b) of the Investment Company Act of 1940, as amended, nor acts as an “investment adviser” required to register as such under the Investment Advisers Act of 1940, as amended.
Appears in 2 contracts
Samples: Agreement of Merger (First Financial Bancorp /Oh/), Agreement and Plan of Merger (S Y Bancorp Inc)
No Investment Adviser. Neither the Company nor any of the Company Subsidiary Subsidiaries serves in a capacity described in Section 9(a) or 9(b) of the Investment Company Act of 1940, as amended, nor acts as an “investment adviser” required to register as such under the Investment Advisers Act of 1940, as amended.
Appears in 2 contracts
Samples: Agreement and Plan of Merger (Mission Community Bancorp), Voting and Support Agreement (Heritage Oaks Bancorp)
No Investment Adviser. Neither Company Seller nor any Company Seller Subsidiary serves in a capacity described in Section 9(a) or 9(b) of the Investment Company Act of 1940, as amended, nor acts as an “investment adviser” required to register as such under the Investment Advisers Act of 1940, as amended.
Appears in 1 contract
Samples: Branch Purchase Agreement (Mercantile Bancorp, Inc.)
No Investment Adviser. Neither Except as set forth on Section 3.23 of the Disclosure Schedule, neither Company nor any Company Subsidiary serves in a capacity described in Section 9(a) or 9(b) of the Investment Company Act of 1940, as amended, nor acts as an “investment adviser” required to register as such under the Investment Advisers Act of 1940, as amended.
Appears in 1 contract
Samples: Agreement and Plan of Merger (National Bank Holdings Corp)
No Investment Adviser. Neither Company Bank nor any Company Bank Subsidiary serves in a capacity described in Section 9(a) or 9(b) of the Investment Company Act of 1940, as amended, nor acts as an “investment adviser” required to register as such under the Investment Advisers Act of 1940, as amended.
Appears in 1 contract
No Investment Adviser. Neither Company nor any Company Subsidiary of its Subsidiaries serves in a capacity described in Section 9(a) or 9(b) of the Investment Company Act of 1940, as amended, nor acts as an “investment adviser” required to register as such under the Investment Advisers Act of 1940, as amended.
Appears in 1 contract
Samples: Agreement and Plan of Merger (First Federal Bancshares of Arkansas Inc)
