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 as described in the Preliminary Prospectus, the Time of Sale Prospectus, 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 4 contracts
Samples: Underwriting Agreement (SMG Indium Resources Ltd.), Underwriting Agreement (SMG Indium Resources Ltd.), Underwriting Agreement (SMG Indium Resources Ltd.)
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 thereof as described in the Preliminary ProspectusRegistration Statement, the Time of Sale Prospectus, the Registration Statement Pricing Prospectus and the Prospectus, will not be, be an “investment company” as defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Underwriting Agreement (D. Medical Industries Ltd.), Underwriting Agreement (D. Medical Industries Ltd.), Underwriting Agreement (D. Medical Industries Ltd.)
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 thereof as described in the Preliminary ProspectusRegistration Statement, the Time of Sale Prospectus, the Registration Statement Disclosure Package 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 (Tantech Holdings LTD), Underwriting Agreement (Tantech Holdings LTD), Underwriting Agreement (Zheng Hui Industry Corp.)
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 thereof as described in the Preliminary ProspectusRegistration Statement, the Time of Sale Prospectus, the Registration Statement Preliminary Prospectus and the Prospectus, will not be, an “investment company” as defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Underwriting Agreement (Novelos Therapeutics, Inc.), Underwriting Agreement (Novelos Therapeutics, 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 thereof as described in the Preliminary ProspectusRegistration Statement, the Time of Sale Prospectus, the Registration Statement Statutory Prospectus and the Prospectus, will not be, an “investment company” as defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Underwriting Agreement (WhiteSmoke, Inc.), Underwriting Agreement (WhiteSmoke, 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 proceeds thereof as described in the Preliminary ProspectusRegistration Statement, the Time of Sale Prospectus, the Registration Statement Prospectus and the ProspectusDisclosure Package, will not be, an “investment company” as defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 1 contract
Samples: Underwriting Agreement (China SLP Filtration Technology, Inc.)
No Investment Company Status. The Company is not and, after giving effect to the Offering and sale of the Securities Units and the Options, if any, and the application of the proceeds thereof as described in the Preliminary ProspectusRegistration Statement, the Time of Sale Prospectus, the Registration Statement Pricing Prospectus 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: Placement Agent Agreement (Endurance Exploration Group, Inc.)
