No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 907 contracts
Samples: Underwriting Agreement (Metros Development Co., Ltd.), Underwriting Agreement (Know Labs, Inc.), Underwriting Agreement (Vision Marine Technologies Inc.)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 134 contracts
Samples: Placement Agency Agreement (Tonix Pharmaceuticals Holding Corp.), Securities Purchase Agreement (Tonix Pharmaceuticals Holding Corp.), Placement Agency Agreement (Oragenics Inc)
No Investment Company Status. The Company is not and, after giving effect to the Offering and sale of the Securities and the application of the net proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 64 contracts
Samples: Underwriting Agreement (Webus International Ltd.), Underwriting Agreement (EShallGo Inc.), Underwriting Agreement (Ming Shing Group Holdings LTD)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 33 contracts
Samples: Underwriting Agreement (Stemline Therapeutics Inc), Underwriting Agreement (Stemline Therapeutics Inc), Underwriting Agreement (Stemline Therapeutics Inc)
No Investment Company Status. The Company is not and, at all times up to and including consummation of the transactions contemplated by this Agreement, and after giving effect to the Offering and the application of the net proceeds thereof of the Offering as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “investment company,” as defined in under the Investment Company Act of 1940, as amended, and is not and will not be an entity “controlled” by an “investment company” within the meaning of such act.
Appears in 30 contracts
Samples: Underwriting Agreement (EVmo, Inc.), Underwriting Agreement (Versus Systems Inc.), Underwriting Agreement (EVmo, Inc.)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the net proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 30 contracts
Samples: Underwriting Agreement (Energys Group LTD), Underwriting Agreement (Energys Group LTD), Underwriting Agreement (Trident Digital Tech Holdings Ltd.)
No Investment Company Status. The Company is not and, after giving effect to the Offering and sale of the Firm Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 25 contracts
Samples: Underwriting Agreement (Eco-Stim Energy Solutions, Inc.), Underwriting Agreement (Eco-Stim Energy Solutions, Inc.), Underwriting Agreement (Eco-Stim Energy Solutions, Inc.)
No Investment Company Status. The Company or any Subsidiary is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 12 contracts
Samples: Underwriting Agreement (My Size, Inc.), Underwriting Agreement (Kaspien Holdings Inc.), Underwriting Agreement (Avinger Inc)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package Prospectus and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 11 contracts
Samples: Underwriting Agreement (Guardion Health Sciences, Inc.), Underwriting Agreement (Guardion Health Sciences, Inc.), Underwriting Agreement (Guardion Health Sciences, Inc.)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package Package, and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 10 contracts
Samples: Underwriting Agreement (C3is Inc.), Underwriting Agreement (C3is Inc.), Underwriting Agreement (C3is Inc.)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “"investment company,” " as defined in the Investment Company Act of 1940, as amended.
Appears in 9 contracts
Samples: Underwriting Agreement (ImmunoPrecise Antibodies Ltd.), Underwriting Agreement (Gamer Pakistan Inc), Underwriting Agreement (Gamer Pakistan Inc)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “investment company,” as defined in and pursuant to the Investment Company Act of 1940, as amended.
Appears in 8 contracts
Samples: Underwriting Agreement (Graphex Group LTD), Underwriting Agreement (TC BioPharm (Holdings) PLC), Underwriting Agreement (TC BioPharm (Holdings) PLC)
No Investment Company Status. The Company is not and, after giving effect to the Offering and sale of the Firm Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Underwriting Agreement (China Shandong Industries, Inc.), Underwriting Agreement (China Shandong Industries, Inc.), Underwriting Agreement (China Shandong Industries, Inc.)
No Investment Company Status. The Company is not and, after giving effect to the Offering and sale of the Placement Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Time of Sale Disclosure Package and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Underwriting Agreement (Fuling Global Inc.), Underwriting Agreement (Fuling Global Inc.), Underwriting Agreement (Fuling Global Inc.)
No Investment Company Status. The Company is not and, after giving effect to the Offering Placement and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package Base Prospectus, the Time of Sale Prospectus and the ProspectusProspectus Supplement, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Placement Agency Agreement (NXT-Id, Inc.), www.sec.gov, Placement Agency Agreement (NXT-Id, Inc.)
No Investment Company Status. The Neither the Company nor any member of the Company Group is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Underwriting Agreement (Eyegate Pharmaceuticals Inc), Underwriting Agreement (Eyegate Pharmaceuticals Inc), Underwriting Agreement (Eyegate Pharmaceuticals Inc)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “investment company,” as defined in under the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Underwriting Agreement (Cancer Genetics, Inc), Underwriting Agreement (Cancer Genetics, Inc), Underwriting Agreement (Cancer Genetics, Inc)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package Time of Sale Information and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Underwriting Agreement (Luxurban Hotels Inc.), Underwriting Agreement (BitNile Holdings, Inc.), Underwriting Agreement (BitNile Holdings, Inc.)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Underwriting Agreement (Wetouch Technology Inc.), Underwriting Agreement (Wetouch Technology Inc.), Underwriting Agreement (Wetouch Technology Inc.)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “investment company,” ”, as defined in and pursuant to the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Underwriting Agreement (Janover Inc.), Underwriting Agreement (Janover Inc.), Underwriting Agreement (Janover Inc.)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 5 contracts
Samples: Underwriting Agreement (Scorpius Holdings, Inc.), Underwriting Agreement (Scorpius Holdings, Inc.), Underwriting Agreement (Scorpius Holdings, Inc.)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “"investment company,” " as defined in the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Placement Agency Agreement (KWESST Micro Systems Inc.), Underwriting Agreement (KWESST Micro Systems Inc.), Placement Agency Agreement (Nemaura Medical Inc.)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Offering Statement, the Pricing Disclosure Package Materials and the ProspectusFinal Offering Circular, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Placement Agency Agreement (Glucose Biosensor Systems (Greater China) Holdings, Inc.), Placement Agency Agreement (Glucose Biosensor Systems (Greater China) Holdings, Inc.), Placement Agency Agreement (Glucose Biosensor Systems (Greater China) Holdings, Inc.)
No Investment Company Status. The Company is not, and is not an Affiliate (as defined below) of, and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Underwriting Agreement (Blink Charging Co.), Underwriting Agreement (Blink Charging Co.), Underwriting Agreement (Blink Charging Co.)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package SEC Reports and the ProspectusProspectus Supplement, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Underwriting Agreement (KULR Technology Group, Inc.), Underwriting Agreement (Ideal Power Inc.), Underwriting Agreement (Senmiao Technology LTD)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Offering Statement, the Pricing Disclosure Package and the ProspectusFinal Offering Circular, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Underwriting Agreement (AeroClean Technologies, LLC), Underwriting Agreement (Scopus BioPharma Inc.), Underwriting Agreement (Scopus BioPharma Inc.)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Underwriting Agreement (Biofrontera AG), Underwriting Agreement (Biofrontera AG), Underwriting Agreement (Biofrontera AG)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Underwriting Agreement (Jerash Holdings (US), Inc.), Underwriting Agreement (Jerash Holdings (US), Inc.), Underwriting Agreement (Jerash Holdings (US), Inc.)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Offering Statement, the Pricing Disclosure Package and the ProspectusFinal Offering Circular, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Selling Agent Agreement, Selling Agent Agreement (Neurmedix, Inc.)
No Investment Company Status. The Company is not and, after giving effect to the Offering sales of the Securities and the application of the proceeds thereof therefrom as described in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 2 contracts
Samples: Equity Distribution Agreement (Synalloy Corp), Equity Distribution Agreement (Synalloy Corp)
No Investment Company Status. The Company is not andnot, and after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package Package, and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Underwriting Agreement (Verb Technology Company, Inc.), Underwriting Agreement (Verb Technology Company, Inc.)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “investment company,” as defined in and pursuant to the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Underwriting Agreement (Fly-E Group, Inc.), Underwriting Agreement (Fly-E Group, Inc.)
No Investment Company Status. The Company is not and, after giving effect to the Offering offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Form of Underwriting Agreement (PeerStream, Inc.), Underwriting Agreement (PeerStream, Inc.)
No Investment Company Status. The Company is not and, after giving effect to the Offering sale of Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing General Disclosure Package and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Ion Geophysical Corp), Equity Distribution Agreement (xG TECHNOLOGY, INC.)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package Time of Sale Prospectus and the ProspectusFinal Offering Documents, will not be, required to register as an “investment company,” as defined in the U.S. Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Underwriting Agreement (Draganfly Inc.), Underwriting Agreement (Draganfly Inc.)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package Package, and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Underwriting Agreement (Cel Sci Corp), Underwriting Agreement (Cel Sci Corp)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Time of Sale Disclosure Package Package, and the Final Prospectus, will not be, required to register as an “investment company,” as defined in and pursuant to the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Placement Agency Agreement (bioAffinity Technologies, Inc.), Placement Agency Agreement (Worksport LTD)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the ProspectusFinal Offering Circular, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Selling Agent Agreement (Hightimes Holding Corp.), Selling Agent Agreement (Hightimes Holding Corp.)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “"investment company,” " as defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Placement Agency Agreement (Oramed Pharmaceuticals Inc.), Placement Agency Agreement (Oramed Pharmaceuticals Inc.)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Underwriting Agreement (Protagenic Therapeutics, Inc.\new), Underwriting Agreement (Protagenic Therapeutics, Inc.\new)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and or the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Underwriting Agreement (ECMOHO LTD)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Oramed Pharmaceuticals Inc.
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended, and is not and will not be an entity “controlled” by an “investment company” within the meaning of such act.
Appears in 1 contract
Samples: Underwriting Agreement (Clean Energy Technologies, Inc.)
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “investment company,” ’ as defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended, and the rules and regulations promulgated thereunder.
Appears in 1 contract
No Investment Company Status. The Company is not and, after giving effect to the Offering and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the ProspectusPackage, will not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
