Officers and Directors. Except as disclosed in the Prospectus and the Disclosure Package, no person is serving or acting as an officer or director of the Company except in accordance with the applicable provisions of the 1940 Act. Except as disclosed in the Registration Statement, the Disclosure Package and the Prospectus, no director of the Company is (i) an “interested person” (as defined in the 0000 Xxx) of the Company or (ii) an “affiliated person” (as defined in the 0000 Xxx) of any Underwriter. For purposes of this Section 1(k), the Company shall be entitled to reasonably rely on representations from such officers and directors.
Appears in 14 contracts
Samples: Underwriting Agreement (Main Street Capital CORP), Underwriting Agreement (Main Street Capital CORP), Underwriting Agreement (Main Street Capital CORP)
Officers and Directors. Except as disclosed in the Prospectus and the Disclosure Package, no person is serving or acting as an officer or director of the Company except in accordance with the applicable provisions of the 1940 Act. Except as disclosed in the Registration Statement, the Disclosure Package and the Prospectus, no director of the Company is (i) an “interested person” (as defined in the 0000 Xxx) of the Company or (ii) an “affiliated person” (as defined in the 0000 Xxx) of any Underwriter. For purposes of this Section 1(k1(j), the Company shall be entitled to reasonably rely on representations from such officers and directors.
Appears in 6 contracts
Samples: Underwriting Agreement (Capital Southwest Corp), Underwriting Agreement (Capital Southwest Corp), Underwriting Agreement (Capital Southwest Corp)
Officers and Directors. Except as disclosed in the Prospectus and the Disclosure PackageProspectus, no person is serving or acting as an officer or director of the Company except in accordance with the applicable provisions of the 1940 Act. Except as disclosed in the Registration Statement, the Disclosure Package Statement and the Prospectus, no director of the Company is (i) an “interested person” (as defined in the 0000 Xxx) of the Company or (ii) an “affiliated person” (as defined in the 0000 Xxx) of any Underwriterthe Manager. For purposes of this Section 1(k2(j), the Company shall be entitled to reasonably rely on representations from such officers and directors.
Appears in 6 contracts
Samples: Equity Distribution Agreement (Capital Southwest Corp), Equity Distribution Agreement (Capital Southwest Corp), Equity Distribution Agreement (Capital Southwest Corp)
Officers and Directors. Except as disclosed in the Prospectus Disclosure Package and the Disclosure PackageFinal Prospectus, no person is serving or acting as an investment adviser, officer or director of the Company except in accordance with the applicable provisions of the 1940 Act. Except as disclosed in the Registration Statement, the Disclosure Package and the Final Prospectus, no director of the Company is (i) an “interested person” (as defined in the 0000 Xxx) of the Company or (ii) an “affiliated person” (as defined in the 0000 Xxx) of any Underwriter. For purposes of this Section 1(k)section, the Company shall be entitled to reasonably rely on representations from such officers and directors.
Appears in 3 contracts
Samples: Underwriting Agreement (CM Finance Inc), Underwriting Agreement (Poliwogg Regenerative Medicine Fund, Inc.), Underwriting Agreement (Poliwogg Regenerative Medicine Fund, Inc.)
Officers and Directors. Except as disclosed in the Prospectus and the Disclosure Package, no person is serving or acting as an officer or director of the Company except in accordance with the applicable provisions of the 1940 Act. Except as disclosed in the Registration Statement, the Disclosure Package and the Prospectus, no director of the Company is (i) an “interested person” (as defined in the 0000 1000 Xxx) of the Company or (ii) an “affiliated person” (as defined in the 0000 1000 Xxx) of any Underwriter. For purposes of this Section 1(k), the Company shall be entitled to reasonably rely on representations from such officers and directors.
Appears in 3 contracts
Samples: Underwriting Agreement (Main Street Capital CORP), Underwriting Agreement (Main Street Capital CORP), Underwriting Agreement (Main Street Capital CORP)
Officers and Directors. Except as disclosed in the Prospectus Disclosure Package and the Disclosure PackageFinal Prospectus, no person is serving or acting as an investment adviser, officer or director of the Company except in accordance with the applicable provisions of the 1940 Act. Except as disclosed in the Registration Statement, the Disclosure Package and the Final Prospectus, no director of the Company is (i) an “interested person” (as defined in the 0000 1000 Xxx) of the Company or (ii) an “affiliated person” (as defined in the 0000 1000 Xxx) of any Underwriter. For purposes of this Section 1(k)section, the Company shall be entitled to reasonably rely on representations from such officers and directors.
Appears in 3 contracts
Samples: Underwriting Agreement (Alcentra Capital Corp), Underwriting Agreement (Alcentra Capital Corp), Underwriting Agreement (Stellus Capital Investment Corp)
Officers and Directors. Except as disclosed in the Prospectus and the Disclosure Package, no person is serving or acting as an officer or director of the Company except in accordance with the applicable provisions of the 1940 Act. Except as disclosed in the Registration Statement, the Disclosure Package and the Prospectus, no director of the Company is (i) an “interested person” (as defined in the 0000 Xxx1940 Act) of the Company or (ii) an “affiliated person” (as defined in the 0000 Xxx1940 Act) of any UnderwriterUnderwriter listed on Schedule A hereto. For purposes of this Section 1(k), the Company shall be entitled to reasonably rely on representations from such officers and directors.
Appears in 2 contracts
Samples: Underwriting Agreement (Main Street Capital CORP), Underwriting Agreement (Main Street Capital CORP)
Officers and Directors. Except as disclosed in the Prospectus Disclosure Package and the Disclosure PackageFinal Prospectus, no person is serving or acting as an investment adviser, officer or director of the Company except in accordance with the applicable provisions of the 1940 Act. Except as disclosed in the Registration Statement, the Disclosure Package and the Final Prospectus, no director of the Company is (i) an “interested person” (as defined in the 0000 Xxx1940 Act) of the Company or (ii) an “affiliated person” (as defined in the 0000 Xxx1940 Act) of any Underwriter. For purposes of this Section 1(k)section, the Company shall be entitled to reasonably rely on representations from such officers and directors.
Appears in 2 contracts
Samples: Underwriting Agreement (Stellus Capital Investment Corp), Underwriting Agreement (Stellus Capital Investment Corp)
Officers and Directors. Except as disclosed in the Prospectus and the Disclosure Package, no person is serving or acting as an officer or director of the Company except in accordance with the applicable provisions of the 1940 Act. Except as disclosed in the Registration Statement, the Disclosure Package and the Prospectus, no director of the Company is (i) an “interested person” (as defined in the 0000 Xxx1940 Act) of the Company or (ii) an “affiliated person” (as defined in the 0000 Xxx1940 Act) of any Underwriter. For purposes of this Section 1(k1(j), the Company shall be entitled to reasonably rely on representations from such officers and directors.
Appears in 1 contract
Officers and Directors. Except as disclosed in the Prospectus General Disclosure Package and the Disclosure PackageProspectus, no person is serving or acting as an officer or director of the Company except in accordance with the applicable provisions of the 1940 Act. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus, no director of the Company is (i) an “interested person” (as defined in the 0000 Xxx1940 Act) of the Company or (ii) an “affiliated person” (as defined in the 0000 Xxx1940 Act) of any UnderwriterUnderwriter listed in Exhibit A hereto. For purposes of this Section 1(k1(a)(39), the Company shall be entitled to reasonably rely on representations from such officers and directors.
Appears in 1 contract
Officers and Directors. Except as disclosed in the Prospectus and the General Disclosure Package, no person is serving or acting as an officer or director of the Company except in accordance with the applicable provisions of the 1940 Act. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus, no director of the Company is (i) an “interested person” (as defined in the 0000 1940 Xxx) of xx the Company or (ii) an “affiliated person” (as defined in the 0000 1940 Xxx) of xx any UnderwriterUnderwriter listed in Exhibit A hereto. For purposes of this Section 1(k1(a)(36), the Company shall be entitled to reasonably rely on representations from such officers and directors.
Appears in 1 contract
Officers and Directors. Except as disclosed in the Prospectus and the Disclosure Package, no person is serving or acting as an officer or director of the Company except in accordance with the applicable provisions of the 1940 Act. Except as disclosed in the Registration Statement, the Disclosure Package and the Prospectus, no director of the Company is (i) an “interested person” (as defined in the 0000 Xxx) of the Company or (ii) an “affiliated person” (as defined in the 0000 Xxx) of any Underwriter. For purposes of this Section 1(k), the Company shall be entitled to reasonably rely on representations from such officers and directors..
Appears in 1 contract