Preparation of the Financial Statements. The financial statements (together with the related schedules and notes) filed with the Commission as a part of the Registration Statement and included in the Prospectus present fairly the consolidated financial position of the Company as of and at the dates indicated and the results of its operations and cash flows for the periods specified. Such financial statements have been prepared in conformity with accounting principles generally accepted in the United States (“GAAP”) applied on a consistent basis throughout the periods involved, except as may be expressly stated in the related notes thereto. The consolidated selected financial data included in the Prospectus presents fairly in all material respects the information shown therein and has been compiled on a basis consistent with the consolidated financial statements included or incorporated by reference in the Registration Statement. All disclosures contained in the Registration Statement or the Prospectus regarding “non-GAAP financial measures” (as such term is defined by the rules and regulations of the Commission) comply in all material respects with Regulation G under the Exchange Act and Item 10 of Regulation S-K of the 1933 Act, to the extent applicable. There are no financial statements that are required to be included in the Registration Statement or the Prospectus that are not included as required.
Appears in 13 contracts
Samples: Equity Distribution Agreement (Prospect Capital Corp), Equity Distribution Agreement (Prospect Capital Corp), Equity Distribution Agreement (Prospect Capital Corp)
Preparation of the Financial Statements. The financial statements (together with the related schedules and notes) filed with the Commission as a part of the Registration Statement and included in the Prospectus present fairly the consolidated financial position of the Company as of and at the dates indicated and the results of its operations and cash flows for the periods specified. Such financial statements have been prepared in conformity with accounting principles generally accepted in the United States (“GAAP”) applied on a consistent basis throughout the periods involved, except as may be expressly stated in the related notes thereto. The consolidated selected financial data included in the Prospectus presents fairly in all material respects the information shown therein and has been compiled on a basis consistent with the consolidated financial statements included or incorporated by reference in the Registration Statement. All disclosures contained in the Registration Statement or the Prospectus regarding “non-GAAP financial measures” (as such term is defined by the rules and regulations of the Commission) comply in all material respects with Regulation G under the Exchange Act and Item 10 of Regulation S-K of the 1933 ActAct Regulations, to the extent applicable. There are no financial statements that are required to be included in the Registration Statement or the Prospectus that are not included as required.
Appears in 12 contracts
Samples: Equity Distribution Agreement (Prospect Capital Corp), Equity Distribution Agreement (Prospect Capital Corp), Equity Distribution Agreement (Prospect Capital Corp)
Preparation of the Financial Statements. The financial statements (together with the related schedules and notes) filed with the Commission as a part of the Registration Statement and included in the Pricing Disclosure Package and the Prospectus present fairly the consolidated financial position of the Company as of and at the dates indicated and the results of its operations and cash flows for the periods specified. Such financial statements have been prepared in conformity with accounting principles generally accepted in the United States (“GAAP”) applied on a consistent basis throughout the periods involved, except as may be expressly stated in the related notes thereto. The consolidated selected financial data included in the Pricing Disclosure Package and the Prospectus presents fairly in all material respects the information shown therein and has been compiled on a basis consistent with the consolidated financial statements included or incorporated by reference in the Registration Statement. All disclosures contained in the Registration Statement Statement, the Pricing Disclosure Package or the Prospectus regarding “non-GAAP financial measures” (as such term is defined by the rules and regulations of the Commission) comply in all material respects with Regulation G under the Exchange Act and Item 10 of Regulation S-K of the 1933 ActAct Regulations, to the extent applicable. There are no financial statements that are required to be included in the Registration Statement Statement, the Pricing Disclosure Package or the Prospectus that are not included as required.
Appears in 8 contracts
Samples: Underwriting Agreement (Prospect Capital Corp), Underwriting Agreement (Prospect Capital Corp), Underwriting Agreement (Prospect Capital Corp)
Preparation of the Financial Statements. The financial statements (together with the related schedules and notes) filed with the Commission as a part of the Registration Statement and included in the Pricing Disclosure Package and the Prospectus present fairly the consolidated financial position of the Company as of and at the dates indicated and the results of its operations and cash flows for the periods specified. Such financial statements have been prepared in conformity with accounting principles generally accepted in the United States (“GAAP”) applied on a consistent basis throughout the periods involved, except as may be expressly stated in the related notes thereto. The consolidated selected financial data included in the Pricing Disclosure Package and the Prospectus presents fairly in all material respects the information shown therein and has been compiled on a basis consistent with the consolidated financial statements included or incorporated by reference in the Registration Statement. All disclosures contained in the Registration Statement Statement, the Pricing Disclosure Package or the Prospectus regarding “non-GAAP financial measures” (as such term is defined by the rules and regulations of the Commission) comply in all material respects with Regulation G under the Exchange Act and Item 10 of Regulation S-K of the 1933 Act, to the extent applicable. There are no financial statements that are required to be included in the Registration Statement Statement, the Pricing Disclosure Package or the Prospectus that are not included as required.
Appears in 7 contracts
Samples: Underwriting Agreement (Prospect Capital Corp), Underwriting Agreement (Prospect Capital Corp), Underwriting Agreement (Prospect Capital Corp)
Preparation of the Financial Statements. The financial statements (together with the related schedules and notes) filed with the Commission as a part of the Registration Statement and included in the Prospectus and the Disclosure Package present fairly the consolidated financial position of the Company as of and at the dates indicated and the results of its operations and cash flows for the periods specified. Such financial statements have been prepared in conformity with accounting principles generally accepted in the United States (“GAAP”) applied on a consistent basis throughout the periods involved, except as may be expressly stated in the related notes thereto. No other financial statements or supporting schedules are required to be included in the Registration Statement. The consolidated selected financial data included in the Prospectus and the Disclosure Package presents fairly in all material respects the information shown therein and has been compiled on a basis consistent with the consolidated financial statements included or incorporated by reference in the Registration Statement. All disclosures contained in the Registration Statement Statement, the Disclosure Package or the Prospectus regarding “non-GAAP financial measures” (as such term is defined by the rules and regulations of the Commission) comply in all material respects with Regulation G under the Exchange Act and Item 10 of Regulation S-K of the 1933 ActAct Regulations, to the extent applicable. There are no financial statements that are required to be included in the Registration Statement or the Prospectus that are not included as required.
Appears in 5 contracts
Samples: Underwriting Agreement (Prospect Capital Corp), Underwriting Agreement (Prospect Capital Corp), Underwriting Agreement (Prospect Capital Corp)
Preparation of the Financial Statements. The financial statements (together with the related schedules and notes) filed with the Commission as a part of the Registration Statement and included in the Prospectus and the Disclosure Package present fairly the consolidated financial position of the Company as of and at the dates indicated and the results of its operations and cash flows for the periods specified. Such financial statements have been prepared in conformity with accounting principles generally accepted in the United States (“GAAP”) applied on a consistent basis throughout the periods involved, except as may be expressly stated in the related notes thereto. No other financial statements or supporting schedules are required to be included in the Registration Statement. The consolidated selected financial data included in the Prospectus and the Disclosure Package presents fairly in all material respects the information shown therein and has been compiled on a basis consistent with the consolidated financial statements included or incorporated by reference in the Registration Statement. All disclosures contained in the Registration Statement Statement, the Disclosure Package or the Prospectus regarding “non-GAAP financial measures” (as such term is defined by the rules and regulations of the Commission) comply in all material respects with Regulation G under the Exchange 1934 Act and Item 10 of Regulation S-K of the 1933 ActAct Regulations, to the extent applicable. There are no financial statements that are required to be included in the Registration Statement or the Prospectus that are not included as required.
Appears in 3 contracts
Samples: Underwriting Agreement (Prospect Energy Corp), Underwriting Agreement (Prospect Energy Corp), Underwriting Agreement (Prospect Capital Corp)
Preparation of the Financial Statements. The financial statements (together with statements, including the related schedules and notes) filed with the Commission as a part of notes thereto, included or incorporated by reference in the Registration Statement and included in the Prospectus comply in all material respects with the applicable requirements of the Securities Act and the Exchange Act, as applicable, and present fairly the consolidated financial position of the Company entities to which such financial statements relate (the “Covered Entities”) as of and at the dates indicated and the consolidated results of its operations and changes in financial position and cash flows of the Covered Entities for the periods specified. Such ; such financial statements have been prepared in conformity with generally accepted accounting principles generally accepted as applied in the United States (“GAAP”) applied and on a consistent basis throughout during the periods involved, involved (except as may be expressly stated in the related notes thereto. The consolidated selected ) and in accordance with Regulation S-X promulgated by the Commission; the other financial data included or incorporated by reference in the Registration Statement and the Prospectus presents fairly in all material respects present the information shown therein and has have been compiled on a basis consistent with the consolidated financial statements included or incorporated by reference in the Registration Statement. All disclosures contained in Statement and the Registration Statement or the Prospectus regarding “non-GAAP financial measures” (as such term is defined by the rules and regulations of the Commission) comply in all material respects with Regulation G under the Exchange Act and Item 10 of Regulation S-K of the 1933 Act, to the extent applicable. There are Prospectus; no other financial statements that are required to be included or incorporated by reference in the Registration Statement and the Prospectus; no pro forma financial information is required to be included or incorporated by reference in the Prospectus that are not included as requiredRegistration Statement and the Prospectus.
Appears in 3 contracts
Samples: Sales Agreement (Raptor Pharmaceutical Corp), Sales Agreement (Raptor Pharmaceutical Corp), Sales Agreement (Raptor Pharmaceutical Corp)
Preparation of the Financial Statements. The financial statements (together with the related schedules and notes) filed with the Commission as a part of the Registration Statement and included in the Time of Sale Prospectus and the Prospectus present fairly the consolidated financial position of the Company as of and at the dates indicated and the results of its operations and cash flows for the periods specified. Such financial statements have been prepared in conformity with accounting principles generally accepted in the United States (“GAAP”) applied on a consistent basis throughout the periods involved, except as may be expressly stated in the related notes thereto. The consolidated selected financial data included in the Time of Sale Prospectus and the Prospectus presents fairly in all material respects the information shown therein and has been compiled on a basis consistent with the consolidated financial statements included or incorporated by reference in the Registration Statement. All disclosures contained in the Registration Statement Statement, the Time of Sale Prospectus or the Prospectus regarding “non-GAAP financial measures” (as such term is defined by the rules and regulations of the Commission) comply in all material respects with Regulation G under the Exchange Act and Item 10 of Regulation S-K of the 1933 ActAct Regulations, to the extent applicable. There are is no pro forma financial statements information that are is required to be included in the Registration Statement or Statement, the Time of Sale Prospectus and the Prospectus that are is not included as required.
Appears in 2 contracts
Samples: Purchase Agreement (Firsthand Technology Value Fund, Inc.), Purchase Agreement (Firsthand Technology Value Fund, Inc.)
Preparation of the Financial Statements. The financial statements (together with the related schedules and notes) filed with the Commission as a part of the Registration Statement and included in the Prospectus and Time of Sale Prospectus present fairly in all material respects the consolidated financial position of the Company and its subsidiaries as of and at the dates indicated and the results of its their operations and cash flows for the periods specified. Such financial statements have been prepared in conformity with generally accepted accounting principles generally accepted as applied in the United States (“GAAP”) applied on a consistent basis throughout the periods involved, except as may be expressly stated in the related notes thereto. The consolidated selected summary financial data included in the Prospectus presents fairly present fairly, in all material respects respects, the information shown therein and has have been compiled on a basis consistent with that of the consolidated financial statements included or incorporated by reference in the Registration Statement. All disclosures contained The other financial and statistical data set forth in the Registration Statement and included in either the Prospectus or the Time of Sale Prospectus regarding “non-GAAP are accurately presented and prepared on a basis consistent with the financial measures” (as such term is defined by the rules statements and regulations books and records of the Commission) comply in all material respects with Regulation G under the Exchange Act and Item 10 of Regulation S-K of the 1933 Act, to the extent applicableCompany. There are no financial statements (historical or pro forma) that are required to be included in the Registration Statement and either the Prospectus or the Time of Sale Prospectus that are not included as required. Neither the Company nor any of its subsidiaries has engaged in or effected any transaction or arrangement that would constitute an “off-balance sheet arrangement” (as defined in Item 303 of Regulation S-K of the Commission (“Regulation S-K”)).
Appears in 1 contract
Preparation of the Financial Statements. The financial statements (included in the Registration Statement and the Prospectus, together with the related schedules and notes) filed with the Commission as a part of the Registration Statement and included in the Prospectus , present fairly the consolidated financial position of the Company as of and its consolidated subsidiaries at the dates indicated and the results statement of its operations operations, shareholders’ equity and cash flows of the Company and consolidated its subsidiaries for the periods specified. Such ; said financial statements have been prepared in conformity with U.S. generally accepted accounting principles generally accepted in the United States (“GAAP”) applied on a consistent basis throughout the periods involved, except as may be expressly stated in the related notes thereto. The consolidated supporting schedules, if any, present fairly in accordance with GAAP the information required to be stated therein. The selected financial data and the summary financial information included in the Registration Statement and the Prospectus presents present fairly in all material respects the information shown therein and has have been compiled on a basis consistent with that of the consolidated audited financial statements included therein. Except as included therein, no historical or incorporated by reference pro forma financial statements or supporting schedules are required to be included in the Registration StatementStatement or the Prospectus under the Securities Act or the rules and regulations promulgated thereunder. All disclosures contained in the Registration Statement or and the Prospectus regarding “non-GAAP financial measures” (as such term is defined by the rules and regulations of the Commission) comply in all material respects with Regulation G under of the Exchange Act and Item 10 of Regulation S-K of the 1933 Securities Act, to the extent applicable. There are no financial statements that are required to be included in the Registration Statement or the Prospectus that are not included as required.
Appears in 1 contract
Preparation of the Financial Statements. The financial statements (together with the related schedules and notes) filed with the Commission as a part of the Registration Statement and included in the Prospectus and the Disclosure Package present fairly the consolidated combined financial position of the Company Fund and the General Partner as of and at the dates indicated and the results of its operations and cash flows for the periods specified. Such financial statements have been prepared in conformity with accounting principles generally accepted in the United States (“GAAP”) applied on a consistent basis throughout the periods involved, except as may be expressly stated in the related notes thereto. No other financial statements or supporting schedules are required to be included in the Registration Statement. The consolidated selected financial data and financial information included in the Prospectus presents and the Disclosure Package under the captions “Summary Financial and Other Data,” “Selected Financial and Other Data,” and “Pro Forma As Adjusted Balance Sheet” present fairly in all material respects the information shown therein and has have been compiled on a basis consistent with the consolidated combined financial statements included or incorporated by reference in the Registration Statement. All adjustments to historical financial information to arrive at pro forma financial information are reasonably based. All disclosures contained in the Registration Statement Statement, the Disclosure Package or the Prospectus regarding “non-GAAP financial measures” (as such term is defined by the rules and regulations of the Commission) comply in all material respects with Regulation G under the Exchange 1934 Act and Item 10 of Regulation S-K of the 1933 ActAct Regulations, to the extent applicable. There are no financial statements that are required to be included in the Registration Statement or the Prospectus that are not included as required.
Appears in 1 contract
Preparation of the Financial Statements. The financial statements (statements, together with the related schedules notes and notes) schedules, filed with the Commission as a part of or incorporated within the Registration Statement and included in the Prospectus fairly present fairly in all material respects the consolidated financial position and the results of operations and changes in financial position of the Company as of and its subsidiaries at the respective dates indicated and the results of its operations and cash flows or for the respective periods therein specified. Such financial statements and related notes and schedules have been prepared in conformity accordance with the generally accepted accounting principles generally accepted in the United States (“GAAP”) applied on a consistent basis throughout the periods involved, involved except as may be expressly stated set forth in the related notes thereto. The consolidated selected financial data included in the Prospectus presents fairly in all material respects the information shown therein and has been compiled on a basis consistent with the consolidated financial statements included or incorporated by reference in the Registration StatementStatement and the Prospectus. All disclosures contained The financial statements, together with the related notes and schedules, included or incorporated by reference in the Registration Statement and the Prospectus comply as to form in all material respects with Regulation S-X. No other financial statements or supporting schedules or exhibits are required by Regulation S-X to be described, included or incorporated by reference in the Registration Statement or the Prospectus regarding “non-GAAP financial measures” (as such term is defined by the rules and regulations of the Commission) comply in all material respects with Regulation G under the Exchange Act and Item 10 of Regulation S-K of the 1933 Act, to the extent applicableProspectus. There are is no pro forma or as adjusted financial statements that are information which is required to be included in the Registration Statement or the Prospectus that are or a document incorporated by reference therein in accordance with Regulation S-X which has not been included or incorporated as so required.
Appears in 1 contract
Samples: Sales Agreement (Oncothyreon Inc.)
Preparation of the Financial Statements. The financial statements (together with the related schedules and notes) filed with the Commission as a part of the Registration Statement and included in the Prospectus present fairly the consolidated financial position of the Company as of and at the dates indicated and the results of its operations and cash flows for the periods specified. Such financial statements have been prepared in conformity with accounting principles generally accepted in the United States (“GAAP”) applied on a consistent basis throughout the periods involved, except as may be expressly stated in the related notes thereto. The consolidated selected financial data included in the Prospectus presents fairly in all material respects the information shown therein and has been compiled on a basis consistent with the consolidated financial statements included or incorporated by reference in the Registration Statement. All disclosures contained in the Registration Statement or the Prospectus regarding “non-GAAP financial measures” (as such term is defined by the rules and regulations of the Commission) comply in all material respects with Regulation G under the Exchange Act and Item 10 of Regulation S-K of the 1933 Act, to the extent applicable. There are no financial statements that are required to be included in the Registration Statement or the Prospectus that are not included as required.
Appears in 1 contract
Samples: Equity Distribution Agreement (Prospect Capital Corp)
Preparation of the Financial Statements. The financial statements (included or incorporated by reference in the Registration Statement and the Prospectus, together with the related schedules and notes) filed with the Commission as a part of the Registration Statement and included in the Prospectus , present fairly in all material respects the consolidated financial position of the Company as of and its subsidiaries at the dates indicated and the results statement of its operations operations, stockholders’ equity and cash flows of the Company and its subsidiaries for the periods specified. Such ; said financial statements have been prepared in conformity with generally accepted accounting principles generally accepted applied in the United States (“GAAP”) applied on a consistent basis throughout the periods involved, except as may be expressly stated in the related notes thereto. The consolidated selected financial data included in the Prospectus presents supporting schedules, if any, present fairly in all material respects in accordance with GAAP the information shown therein and has been compiled on a basis consistent with the consolidated required to be stated therein. Except as included therein, no historical or pro forma financial statements or supporting schedules are required to be included or incorporated by reference in the Registration StatementStatement or the Prospectus under the Securities Act or the rules and regulations promulgated thereunder. All disclosures contained in the Registration Statement or and the Prospectus regarding “non-GAAP financial measures” (as such term is defined by the rules and regulations of the Commission) comply in all material respects with Regulation G under of the Exchange Act and Item 10 of Regulation S-K of the 1933 Securities Act, to the extent applicable. There are no financial statements that are required to be included in the Registration Statement or the Prospectus that are not included as required.
Appears in 1 contract
Preparation of the Financial Statements. The financial statements (included in the Registration Statement and the Prospectus, together with the related schedules and notes) filed with , present fairly, in all material respects, the Commission as a part of the Registration Statement and included in the Prospectus present fairly the consolidated financial position of the Company as of and at the dates indicated and the results statement of its operations operations, stockholders’ equity and cash flows of the Company for the periods specified. Such ; said financial statements have been prepared in conformity with accounting principles generally accepted in the United States (“GAAP”) GAAP applied on a consistent basis throughout the periods involved, except as may be expressly stated in the related notes thereto. The consolidated supporting schedules, if any, present fairly in all material respects and in accordance with GAAP the information required to be stated therein. The selected financial data and the summary financial information included in the Registration Statement and the Prospectus presents present fairly in all material respects the information shown therein and has have been compiled on a basis consistent with that of the consolidated audited financial statements included or incorporated by reference therein. Except as included therein, no historical or pro forma financial statements or supporting schedules are required to be included in the Registration StatementStatement or the Prospectus under the Securities Act or the rules and regulations promulgated thereunder. All disclosures contained in the Registration Statement or and the Prospectus regarding “non-GAAP financial measures” (as such term is defined by the rules and regulations of the Commission) comply in all material respects with Regulation G under of the Exchange Act and Item 10 of Regulation S-K of the 1933 Securities Act, to the extent applicable. There are no financial statements that are required to be included in the Registration Statement or the Prospectus that are not included as required.
Appears in 1 contract
Samples: Sales Agreement (Allakos Inc.)
Preparation of the Financial Statements. The financial statements (together with statements, including the related schedules and notes) filed with the Commission as a part of notes thereto, included or incorporated by reference in the Registration Statement and included in the Prospectus comply in all material respects with the applicable requirements of the Securities Act and the Exchange Act, as applicable, and present fairly the consolidated financial position of the Company entities to which such financial statements relate (the "Covered Entities") as of and at the dates indicated and the consolidated results of its operations and changes in financial position and cash flows of the Covered Entities for the periods specified. Such ; such financial statements have been prepared in conformity with generally accepted accounting principles generally accepted as applied in the United States (“"GAAP”") applied and on a consistent basis throughout during the periods involved, involved (except as may be expressly stated in the related notes thereto. The consolidated selected ) and in accordance with Regulation S‑X promulgated by the Commission; the other financial data included or incorporated by reference in the Registration Statement and the Prospectus presents fairly in all material respects present the information shown therein and has have been compiled on a basis consistent with the consolidated financial statements included or incorporated by reference in the Registration Statement. All disclosures contained in Statement and the Registration Statement or the Prospectus regarding “non-GAAP financial measures” (as such term is defined by the rules and regulations of the Commission) comply in all material respects with Regulation G under the Exchange Act and Item 10 of Regulation S-K of the 1933 Act, to the extent applicable. There are Prospectus; no other financial statements that are required to be included or incorporated by reference in the Registration Statement and the Prospectus; no pro forma financial information is required to be included or incorporated by reference in the Prospectus that are not included as requiredRegistration Statement and the Prospectus.
Appears in 1 contract