Not an Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Prospectus, will not be an "investment company" as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 21 contracts
Samples: Underwriting Agreement (Cache Inc), Underwriting Agreement (Cache Inc), Underwriting Agreement (Rubios Restaurants Inc)
Not an Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Prospectus, will not be an "“investment company" ” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 12 contracts
Samples: Placement Agency Agreement (Depomed Inc), Underwriting Agreement (Collectors Universe Inc), Underwriting Agreement (St Paul Companies Inc /Mn/)
Not an Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares to be sold by the Company and the application of the proceeds thereof as described in the Registration Statement and the Prospectus, will not be an "investment company" as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Underwriting Agreement (Gaiam Inc), Underwriting Agreement (Crocs, Inc.), Underwriting Agreement (Crocs, Inc.)
Not an Investment Company. The Company is not and, after ------------------------- giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Prospectus, will not be an "investment company" as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Underwriting Agreement (Rainmaker Systems Inc), Underwriting Agreement (Peets Coffee & Tea Inc), Underwriting Agreement (Z Tel Technologies Inc)
Not an Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not andnot, and after giving effect to receipt of payment for the offering and sale of the Shares Securities and the application of the proceeds thereof as described contemplated under the caption “Use of Proceeds” in the Prospectus, Base Prospectus and the Prospectus will not be be, an "“investment company" as such term is defined in ” within the meaning of the Investment Company Act of 1940, as amendedand will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Samples: Underwriting Agreement (Biodel Inc), Placement Agency Agreement (Biodel Inc), Placement Agency Agreement (Biodel Inc)
Not an Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Prospectus, will not be an "“investment company" ” or an entity “controlled” by an “investment company” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Underwriting Agreement (Ista Pharmaceuticals Inc), Placement Agency Agreement (Ista Pharmaceuticals Inc), Underwriting Agreement (Ista Pharmaceuticals Inc)
Not an Investment Company. The Company is not andnot, after giving effect to and upon the offering issuance and sale of the Shares Securities as herein contemplated and the application of the net proceeds thereof therefrom as described in the Prospectus, Prospectus will not be be, an "investment company" as such term is defined in or a company "controlled by" an "investment company" within the meaning of the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Underwriting Agreement (Dime Bancorp Inc), Underwriting Agreement (Dime Bancorp Inc), Underwriting Agreement (Dime Bancorp Inc)
Not an Investment Company. The Company is not andnot, and after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Prospectus, Prospectus will not be be, required to register as an "“investment company" ” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Fulcrum Therapeutics, Inc.), Equity Distribution Agreement (Fulcrum Therapeutics, Inc.)
Not an Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Prospectus, will not be an "investment company" or an entity controlled by an "investment company" as such term is terms are defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Underwriting Agreement (Phase Forward Inc), Underwriting Agreement (Phase Forward Inc)
Not an Investment Company. The Company is not andor, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in 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 2 contracts
Samples: Placement Agency Agreement (Oxygen Biotherapeutics, Inc.), Placement Agency Agreement (Oxygen Biotherapeutics, Inc.)
Not an Investment Company. The Company is not andnot, and after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Prospectus, U.S. Final Prospectus will not be be, required to register as an "“investment company" ” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Underwriting Agreement (Nouveau Monde Graphite Inc.), Underwriting Agreement (Nouveau Monde Graphite Inc.)
Not an Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Prospectus, will not be an "“investment company" ” as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”) and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Underwriting Agreement (Biodelivery Sciences International Inc), Underwriting Agreement (Biodelivery Sciences International Inc)
Not an Investment Company. The Company is not andor, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in 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 2 contracts
Samples: Purchase Agreement (Advanced Magnetics Inc), Underwriting Agreement (Advanced Magnetics Inc)
Not an Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Disclosure Package and the Prospectus, will not be an "“investment company" ” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Underwriting Agreement (Vocus, Inc.), Underwriting Agreement (Vocus, Inc.)
Not an Investment Company. The Company is not andnot, nor after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in 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 amendedamended (the “Investment Company Act”).
Appears in 2 contracts
Samples: Placement Agency Agreement (SCOLR Pharma, Inc.), Placement Agency Agreement (Emisphere Technologies Inc)
Not an Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Prospectus, will not be be, required to register as an "“investment company" ” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Underwriting Agreement (Amag Pharmaceuticals Inc.), Underwriting Agreement (Advanced Magnetics Inc)
Not an Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Statutory Prospectus and the Prospectus, will not be an "“investment company" ” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Underwriting Agreement (Allion Healthcare Inc), Underwriting Agreement (Allion Healthcare Inc)
Not an Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the net proceeds thereof as described in the Prospectus, will not be an "investment company" as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Underwriting Agreement (TTM Technologies Inc), Underwriting Agreement (TTM Technologies Inc)
Not an Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in 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 1 contract
Not an Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares to be sold by the Company and the application of the proceeds thereof as described in the Prospectus, will not be an "investment company" as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Not an Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement and the Prospectus, will not be an "“investment company" ” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Underwriting Agreement (Scopus Video Networks Ltd.)
Not an Investment Company. 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 Prospectusthereof, will not be an "“investment company" ”, as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Sales Agreement (Allakos Inc.)
Not an Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the ProspectusFinal Offering Circular, will not be an "investment company" as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Purchase Agreement (Corixa Corp)
Not an Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares Offered Securities and the application of the proceeds thereof as described in the Prospectus, will not be an "investment company" as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Not an Investment Company. The Company is not andnot, or after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Prospectus, Prospectus will not be be, required to register as an "“investment company" ” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Not an Investment Company. The Company is not and, after giving effect to the offering offer and sale of the Shares Securities and the application of the net proceeds thereof as described in the ProspectusGeneral Disclosure Package, the Company will not be be, an "“investment company" ,” as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 1 contract
Samples: Underwriting Agreement (LyondellBasell Industries N.V.)
Not an Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares Notes and the application of the proceeds thereof as described in the Disclosure Package and the Prospectus, will not be be, an "“investment company" ” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Not an Investment Company. The Company is not andnot, and immediately after giving effect to the offering and sale of the Shares Securities and the application of the net proceeds thereof as described in 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 1 contract
Not an Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Prospectus, will not be an "investment company" as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Not an Investment Company. The Company Corporation is not andnot, and after giving effect to the offering and sale of the Shares Offering and the application of the proceeds thereof as described in the Prospectus, will not be be, an "investment company" as such “Investment Company” within the meaning of that term is defined in under the United States Investment Company Act of 1940, as amended.;
Appears in 1 contract
Not an Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the ProspectusFinal Offering Circular, will not be an "“investment company" ” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Not an Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Disclosure Package and the Prospectus, will not be an "investment company" as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Underwriting Agreement (Vocus, Inc.)
Not an Investment Company. The Company is not andnot, and after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Prospectus, Prospectus will not be be, required to register as an "“investment company" ” as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 1 contract
Samples: Sales Agreement (Franklin Street Properties Corp /Ma/)
Not an Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the ProspectusTransaction Documents, will not be be, an "“investment company" ” or an entity “controlled” by an “investment company” as such term is terms are defined in the Investment Company Act of 1940, as amended, and the rules and regulations thereunder.
Appears in 1 contract
Not an Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the General Disclosure Package and the Prospectus, will not be an "“investment company" ” or an entity controlled by an “investment company” as such term is terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Not an Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the ProspectusShares, will not be an "“investment company" ” or an entity “controlled” by an “investment company”, as such term is terms are defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 1 contract
Samples: Purchase Agreement (Alabama National Bancorporation)
Not an Investment Company. The Company is not and, and after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the ProspectusShares, will not be an "investment company" ", as such term is defined in the Investment Company Act of 1940, as amendedamended (the "Investment Company Act").
Appears in 1 contract
Not an Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Prospectus, will not be an "“investment company" ” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Not an Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in 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 1 contract
Samples: Placement Agency Agreement (Assembly Biosciences, Inc.)
Not an Investment Company. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Prospectus, will not be an "investment company" or an entity "controlled" by an "investment company", as such term is terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Not an Investment Company. The Company is not andnot, nor after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in 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 amendedamended (the “Investment Company Act”).
Appears in 1 contract
Samples: Placement Agency Agreement (Emisphere Technologies Inc)