Public Utility Holding Company Act and Investment Company Act Status. The Company is not a “holding company” or a “public utility company” as such terms are defined in the Public Utility Holding Company Act of 1935, as amended. The Company is not, and as a result of and immediately upon the Closing will not be, an “investment company” or a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 104 contracts
Samples: Note Purchase Agreement (Implant Sciences Corp), Securities Purchase Agreement (Alliqua, Inc.), Note and Warrant Purchase Agreement (Vision Capital Advisors, LLC)
Public Utility Holding Company Act and Investment Company Act Status. The Company is not a “holding company” or a “public utility company” as such terms are defined in the Public Utility Holding Company Act of 1935, as amended. The Company is not, and as a result of the consummation of the transactions contemplated by this Agreement and immediately upon the Closing will application of the proceeds from the sale of the Shares as set forth in the Base Prospectus and any Prospectus Supplement shall not be, an “investment company” or a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 16 contracts
Samples: Common Stock Purchase Agreement (Pharmacyclics Inc), Common Stock Purchase Agreement (Alexza Pharmaceuticals Inc.), Common Stock Purchase Agreement (Onyx Pharmaceuticals Inc)
Public Utility Holding Company Act and Investment Company Act Status. The Company is not a “holding company” or a “public utility company” as such terms are defined in the Public Utility Holding Company Act of 1935, as amended. The Company is not, and as a result of and immediately upon the Closing will not be, an “investment company” or a company “controlled” by an “investment company,” ”, within the meaning of the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Securities Purchase Agreement (ImmunoCellular Therapeutics, Ltd.), Securities Purchase Agreement (ImmunoCellular Therapeutics, Ltd.), Securities Purchase Agreement (Cytrx Corp)
Public Utility Holding Company Act and Investment Company Act Status. The Company is not a “holding company” or a “public utility company” as such terms are defined in the Public Utility Holding Company Act of 1935, as amended. The Company is not, and as a result of and immediately upon the a Closing will not be, an “investment company” or a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Series B Preferred Stock Purchase Agreement (Glowpoint Inc), Series B Preferred (Glowpoint Inc), Purchase Agreement (Glowpoint Inc)
Public Utility Holding Company Act and Investment Company Act Status. The Company is not a “"holding company” " or a “"public utility company” " as such terms are defined in the Public Utility Holding Company Act of 1935, as amended. The Company is not, and as a result of and immediately upon the Closing will not be, an “"investment company” " or a company “"controlled” " by an “"investment company,” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Convertible Preferred Stock Purchase Agreement (Home Solutions of America Inc), Series B Convertible Preferred Stock Purchase Agreement (Home Solutions of America Inc), Note and Warrant Purchase Agreement (Silver Star Energy Inc)
Public Utility Holding Company Act and Investment Company Act Status. The Company is not a “"holding company” " or a “"public utility company” " as such terms are defined in the Public Utility Holding Company Act of 1935, as amended. The Company is not, and as a result of and immediately upon the Closing Date will not be, an “"investment company” " or a company “"controlled” " by an “"investment company,” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Senesco Technologies Inc), Securities Purchase Agreement (Senesco Technologies Inc), Securities Purchase Agreement (Senesco Technologies Inc)
Public Utility Holding Company Act and Investment Company Act Status. The Company is not a “holding company” or a “public utility company” as such terms are defined in the Public Utility Holding Company Act of 1935, as amended. The Company is not, and as a result of and immediately upon the Closing will not be, an “investment company” 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: Securities Purchase Agreement (Strata Capital Corp), Securities Purchase Agreement (Kleangas Energy Technologies, Inc.), Securities Purchase Agreement (Eyes on the Go, Inc.)
Public Utility Holding Company Act and Investment Company Act Status. The Company is not a “holding company” or a “public utility company” as such terms are defined in the Public Utility Holding Company Act of 1935, as amended. The Company is not, and as a result of and immediately upon the Closing Effective Date will not be, an “investment company” 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: Common Stock Purchase Agreement (Eos Petro, Inc.), Common Stock Purchase Agreement (Max Sound Corp), Common Stock Purchase Agreement (Cv Therapeutics Inc)
Public Utility Holding Company Act and Investment Company Act Status. The Company is not a “holding company” or a “public utility company” as such terms are defined in the Public Utility Holding Company Act of 1935, as amended. The Company is not, and as a result of and immediately upon the either Closing will not be, an “investment company” 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: Note Purchase Agreement (Pedevco Corp), Note Purchase Agreement (Pedevco Corp), Note Purchase Agreement (Blast Energy Services, Inc.)
Public Utility Holding Company Act and Investment Company Act Status. The Company is not a “holding company” or a “public utility company” as such terms are defined in the Public Utility Holding Company Act of 1935, as amended. The Company is not, and as a result of and immediately upon the each Closing will not be, an “investment company” 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: Securities Purchase Agreement (Path 1 Network Technologies Inc), Securities Purchase Agreement (Lighting Science Group Corp), Securities Purchase Agreement (Path 1 Network Technologies Inc)
Public Utility Holding Company Act and Investment Company Act Status. The Company is not a “holding company” or a “public utility company” as such terms are defined in the Public Utility Holding Company Act of 1935, as amended. The Company is not, and as a result immediately after receipt of and immediately upon payment for the Closing Securities will not be, an “investment company,” an “affiliated person” of, “promoter” for or a company “principal underwriter” for, or an entity “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amendedAct.
Appears in 2 contracts
Samples: Securities Purchase and Loan Conversion Agreement (Brookside Technology Holdings, Corp.), Securities Purchase and Loan Conversion Agreement (Brookside Technology Holdings, Corp.)
Public Utility Holding Company Act and Investment Company Act Status. The Company is not a “"holding company” " or a “"public utility company” " as such terms are defined in the Public Utility Holding Company Act of 1935, as amended. The Company is not, and as a result of and immediately upon the Closing will not be, an “"investment company” " or a company “"controlled” " by an “"investment company,” ", within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Broadcast International Inc), Securities Purchase Agreement (Nascent Wine Company, Inc.)
Public Utility Holding Company Act and Investment Company Act Status. The Company is not a “holding company” or a “public utility company” as such those terms are defined in the Public Utility Holding Company Act of 1935, as amended. The Company is not, and as a result of and immediately upon the Closing will not be, an “investment company” or a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Purchase Agreement (Gulfstream International Group Inc), Purchase Agreement (Gulfstream International Group Inc)
Public Utility Holding Company Act and Investment Company Act Status. The Company is not a “holding company” or a “public utility company” as such terms are defined in the Public Utility Holding Company Act of 1935, as amended. The Company is not, and as a result of and immediately upon the Closing will not be, an “investment company” or a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Share Purchase Agreement (Pinecrest Investment Group Inc), Share Purchase Agreement (Pinecrest Investment Group Inc)
Public Utility Holding Company Act and Investment Company Act Status. The Company is not a “"holding company” " or a “"public utility company” " as such terms are defined in the Public Utility Holding Company Act of 1935, as amended. The Company is not, and as a result of and immediately upon the Closing will not be, an “"investment company” " or a company “"controlled” " by an “"investment company,” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Note and Warrant Purchase Agreement (Medix Resources Inc)
Public Utility Holding Company Act and Investment Company Act Status. The Company is not a “holding company” or a “public utility company” as such terms are defined in the Public Utility Holding Company Act of 1935, as amended. The Company is not, and as a result of and immediately upon the Closing will not be, an “investment company” or a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amended.. Note and Warrant Purchase Agreement
Appears in 1 contract
Samples: Note and Warrant Purchase Agreement (Interlink Global Corp)
Public Utility Holding Company Act and Investment Company Act Status. The Company is not a “holding company” or a “public utility company” as such terms are defined in the Public Utility Holding Company Act of 1935, as amended. The Company is not, and as a result of and immediately upon the Closing will not be, an “investment company” or a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Convertible Preferred Stock Purchase Agreement (Edgewater Foods International, Inc.)
Public Utility Holding Company Act and Investment Company Act Status. The No Company is not a “holding company” or a “public utility company” as such terms are defined in the Public Utility Holding Company Act of 19352005, as amended. The No Company is notis, and as a result of and immediately upon the Closing Closing, if applicable, will not be, an “investment company” or a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Island Breeze International, Inc.)
Public Utility Holding Company Act and Investment Company Act Status. The Company is not a “holding company” or a “public utility company” as such terms are defined in the Public Utility Holding Company Act of 1935, as amended. The Company is not, and as a result of and immediately upon the Closing closing will not be, an “investment company” or a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Subscription Agreement for Canyon Resources Corporation (Canyon Resources Corp)
Public Utility Holding Company Act and Investment Company Act Status. The Company is not a “holding company” or a “public utility company” as such terms are defined in the Public Utility Holding Company Act of 1935, as amended. The Company is not, and as a result of and immediately upon the Closing will not be, an “investment company” or a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amended.. (gg)
Appears in 1 contract
Samples: Securities Purchase Agreement (Clean Power Technologies Inc.)
