Not Investment Company. None of the Company, any Person controlling or any subsidiary of the Company is (a) an “investment company,” or a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”), or otherwise registered or required to be registered, or subject to the restrictions imposed, by the Investment Company Act.
Appears in 2 contracts
Samples: Recapitalization Agreement (Nuo Therapeutics, Inc.), Exchange Agreement (Nuo Therapeutics, Inc.)
Not Investment Company. None of the Company, any subsidiary of the Company or any Person controlling or any subsidiary of the Company is (a) an “investment company,” or a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”), or otherwise registered or required to be registered, or subject to the restrictions imposed, by the Investment Company Act.
Appears in 1 contract
Samples: Exchange and Termination Agreement (Windtree Therapeutics Inc /De/)
Not Investment Company. None of the CompanyCorporation, any Person controlling or any subsidiary of the Company Corporation is (a) an “investment company,” or a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”), or otherwise registered or required to be registered, or subject to the restrictions imposed, by the Investment Company Act.
Appears in 1 contract
Samples: Series B Preferred Stock Exchange Agreement (Alimera Sciences Inc)
