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 proceeds thereof, will not be, an “investment company” as defined in the Investment Company Act of 1940, as amended.
Appears in 24 contracts
Samples: Underwriting Agreement (Long Island Iced Tea Corp.), Subscription Agreement (Alliance MMA, Inc.), Underwriting Agreement (Pulse Biosciences, Inc.)
No Investment Company Status. The Company is not and, after giving effect to the Offering and sale of the Securities Units and the application of the proceeds thereofthereof as described in the Registration Statement and the Prospectus, will not be, an “investment company” as defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 9 contracts
Samples: Underwriting Agreement (Selway Capital Acquisition Corp.), Underwriting Agreement (Selway Capital Acquisition Corp.), Underwriting Agreement (Selway Capital Acquisition Corp.)
No Investment Company Status. The Company is not and, after giving effect to the Offering and sale of the Securities Firm Units and the application of the proceeds thereofthereof as described in the Registration Statement and the Prospectus, will not be, an “investment company” as defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 7 contracts
Samples: Underwriting Agreement (Selway Capital Acquisition Corp.), Underwriting Agreement (FlatWorld Acquisition Corp.), Underwriting Agreement (FlatWorld Acquisition Corp.)
No Investment Company Status. The Company is not and, after giving effect to the Offering and sale of the Securities Shares and the Option Shares, if any, and the application of the proceeds thereofthereof as described in the Registration Statement, the Pricing Prospectus and the Prospectus, will not be, an “investment company” as defined in the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Underwriter Agreement (Dogness (International) Corp), Placement Agreement (Hebron Technology Co., LTD), Placement Agreement (Hebron Technology Co., LTD)
No Investment Company Status. The Company is not and, after giving effect to the Offering offering and sale of the Securities Placement Shares and the application of the proceeds thereofthereof as described under the caption “Use of Proceeds” in the Prospectus, will not be, be an “investment company” as defined in the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Armour Residential REIT, Inc., Distribution Agreement (Armour Residential REIT, Inc.), Equity Distribution Agreement (Armour Residential REIT, Inc.)
No Investment Company Status. The Company is not and, after giving effect to the Offering and sale of the Securities Firm Shares and the application of the proceeds thereofthereof as described in the Registration Statement, Preliminary Prospectus and Prospectus, will not be, an “investment company” as defined in the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Underwriting Agreement (Dais Analytic Corp), Underwriting Agreement (Dais Analytic Corp), Underwriting Agreement (Dais Analytic Corp)
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 proceeds thereoftransactions contemplated hereby, 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: Securities Purchase Agreement (ClearSign Technologies Corp), Securities Purchase Agreement (ClearSign Technologies Corp), Securities Purchase Agreement (Gain Therapeutics, 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 thereofthereof as described in the Registration Statement, the Disclosure Materials, and the Prospectus, will not be, an “investment company” as defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Underwriting Agreement (Linkers Industries LTD), Underwriting Agreement (Linkers Industries LTD), Underwriting Agreement (Linkers Industries LTD)
No Investment Company Status. The Company is not and, after giving effect to the Offering and sale of the Securities Shares and the application of the proceeds thereof, will not be, an “investment company” as defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Selling Agent Agreement (AzurRx BioPharma, Inc.), Selling Agent Agreement (AzurRx BioPharma, Inc.), Underwriting Agreement (Cue Biopharma, Inc.)
No Investment Company Status. The Company is not andnot, and after giving effect to receipt of payment for the Offering and sale of the Offered Securities and the after application of the net proceeds thereoftherefrom as described in the Prospectus, will not be, an “investment company” as defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Subscription Agreement (Biotechnology Value Fund L P), Subscription Agreement (BioLineRx Ltd.)
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 proceeds thereofOffering, 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 (Snow Lake Resources Ltd.), Underwriting Agreement (Snow Lake Resources Ltd.)
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 proceeds thereofthereof as described in the Registration Statement and the Prospectus, will not be, 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 offering and sale of the Securities Placement Shares and the application of the proceeds thereofthereof as described under the caption "Use of Proceeds" in the Prospectus, will not be, be an “"investment company” " as defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Power REIT
No Investment Company Status. The Company is not and, after giving effect to the Offering and sale of the Securities Shares hereunder and the application of the proceeds thereoftherefrom, 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 sale of the Securities Ordinary Shares and the application of the net proceeds thereofthereof as described in the Registration Statement and the Prospectus, will not be, an “investment company” as defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Underwriting Agreement (Wah Fu Education Group LTD)
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 proceeds thereoftransactions contemplated by this Agreement, 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 sale of the Securities Firm Shares and the Option Shares, if any, and the application of the proceeds thereofthereof as described in the Registration Statement and the Prospectus, will not be, 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 sale of the Public Securities and the application of the proceeds thereofthereof as described in the Registration Statement and the Prospectus, will not be, an “investment company” as defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
No Investment Company Status. The Company and each of its Subsidiaries is not andnow, and after giving effect to the Offering and sale of the Securities Shares in the Offering and the application of the net proceeds thereoffrom the sale of the Shares, will not be, an “investment company” as defined in within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Share Purchase Agreement (Ebix Inc)
No Investment Company Status. The Company is not and, after giving effect to the Offering and sale of the Firm Securities and the application of the proceeds thereofthereof as described in the Registration Statement and the Prospectus, will not be, an “investment company” as defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Underwriting Agreement (Sunity Online Entertainment LTD)
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 thereofthereof as described in the Registration Statement, the Post-Effective Amendment and the Prospectus, will not be, 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 sale of the Securities and the application of the proceeds thereofthereof as described in the SEC Reports 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
