Registration Under Advisers Act. The Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act or the 1940 Act from acting under the Investment Advisory Agreement for the Company as contemplated by the General Disclosure Package and the Prospectus. There does not exist any proceeding or, to the Adviser’s knowledge, any facts or circumstances the existence of which could lead to any proceeding which might adversely affect the registration of the Adviser with the Commission.
Appears in 45 contracts
Samples: Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp)
Registration Under Advisers Act. The Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act or the 1940 Act from acting under the Investment Advisory Agreement for the Company as contemplated by the General Disclosure Package Registration Statement and the Prospectus. There does not exist any proceeding or, to the Adviser’s knowledge, any facts or circumstances the existence of which could lead to any proceeding which might adversely affect the registration of the Adviser with the Commission.
Appears in 27 contracts
Samples: Equity Distribution Agreement (Ares Capital Corp), Capital Corporation (Ares Capital Corp), Equity Distribution Agreement (Ares Capital Corp)
Registration Under Advisers Act. The Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act or the 1940 Act from acting under the Investment Advisory Management Agreement for the Company as contemplated by the Registration Statement, the General Disclosure Package and the Prospectus. There does not exist any proceeding or, to the Adviser’s knowledge, any facts or circumstances the existence of which could lead to any proceeding which might adversely affect the registration of the Adviser with the Commission.
Appears in 20 contracts
Samples: Underwriting Agreement (Runway Growth Finance Corp.), Underwriting Agreement (Goldman Sachs BDC, Inc.), Underwriting Agreement (Runway Growth Finance Corp.)
Registration Under Advisers Act. The Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act or the 1940 Act from acting under the Investment Advisory Agreement for the Company as contemplated by the General Disclosure Package and the Prospectus. There does not exist any proceeding or, to the Adviser’s knowledge, any facts or circumstances the existence of which could lead to any proceeding proceeding, which might adversely affect the registration of the Adviser with the Commission.
Appears in 18 contracts
Samples: Equity Distribution Agreement (Prospect Capital Corp), Equity Distribution Agreement (Prospect Capital Corp), Equity Distribution Agreement (Prospect Capital Corp)
Registration Under Advisers Act. The Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act or the 1940 Act from acting under the Investment Advisory Management Agreement for the Company as contemplated by the General Disclosure Package Registration Statement and the Prospectus. There does not exist any proceeding or, to the Adviser’s knowledge, any facts or circumstances the existence of which could lead to any proceeding which might adversely affect the registration of the Adviser with the Commission.
Appears in 18 contracts
Samples: Equity Distribution Agreement (PennantPark Floating Rate Capital Ltd.), Distribution Agreement (Goldman Sachs BDC, Inc.), Equity Distribution Agreement (PennantPark Floating Rate Capital Ltd.)
Registration Under Advisers Act. The Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act or the 1940 Act from acting under the Investment Advisory Agreement for the Company as contemplated by the General Registration Statement, the Pricing Disclosure Package and the Prospectus. There does not exist any proceeding or, to the Adviser’s knowledge, any facts or circumstances the existence of which could lead to any proceeding proceeding, which might adversely affect the registration of the Adviser with the Commission.
Appears in 15 contracts
Samples: Underwriting Agreement (Prospect Capital Corp), Underwriting Agreement (Prospect Capital Corp), Underwriting Agreement (Prospect Capital Corp)
Registration Under Advisers Act. The Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act or the 1940 Act from acting under the Investment Advisory Agreement for the Company as contemplated by the General Disclosure Package Registration Statement and the Prospectus. There does not exist any proceeding or, to the Adviser’s knowledge, any facts or circumstances the existence of which could lead to any proceeding proceeding, which might adversely affect the registration of the Adviser with the Commission.
Appears in 10 contracts
Samples: Debt Distribution Agreement (Prospect Capital Corp), Debt Distribution Agreement (Prospect Capital Corp), Debt Distribution Agreement (Prospect Capital Corp)
Registration Under Advisers Act. The Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act or the 1940 Act from acting under the Investment Advisory Agreement for the Company as contemplated by the General Disclosure Package and the Prospectus. There does not exist any proceeding or, to the Adviser’s 's knowledge, any facts or circumstances the existence of which could lead to any proceeding which might adversely affect the registration of the Adviser with the Commission.
Appears in 9 contracts
Samples: Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp)
Registration Under Advisers Act. The Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act or the 1940 Act from acting under the Investment Advisory Agreement for the Company as contemplated by the General Disclosure Package Prospectus and the ProspectusDisclosure Package. There does not exist any proceeding or, to the Adviser’s knowledge, any facts or circumstances the existence of which could lead to any proceeding proceeding, which might adversely affect the registration of the Adviser with the Commission.
Appears in 8 contracts
Samples: Administration Agreement (Prospect Capital Corp), Prospect Capital Corp, Prospect Capital Corp
Registration Under Advisers Act. The Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act or the 1940 Act from acting under the Investment Advisory Agreement for the Company as contemplated by the General Disclosure Package and the Prospectus. There does not exist any proceeding or, to the Adviser’s knowledge, any facts or circumstances the existence of which could lead to any proceeding which might adversely affect the registration of the Adviser with the Commission.
Appears in 8 contracts
Samples: Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp)
Registration Under Advisers Act. The Investment Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act or the 1940 Act from acting under the Investment Advisory Management Agreement for the Company as contemplated by the General Disclosure Package and the Prospectus. There does not exist any proceeding or, to the Adviser’s knowledge, any facts or circumstances the existence of which could lead to any proceeding which might adversely affect the registration of the Adviser with the Commission.
Appears in 3 contracts
Samples: Purchase Agreement (PennantPark Floating Rate Capital Ltd.), Purchase Agreement (Pennantpark Investment Corp), Purchase Agreement (Pennantpark Investment Corp)
Registration Under Advisers Act. The Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act or the 1940 Investment Company Act from acting under the Investment Advisory Agreement for the Company as contemplated by the General Pricing Disclosure Package and the ProspectusOffering Memorandum. There does not exist any proceeding or, to the Adviser’s knowledge, any facts or circumstances the existence of which could lead to any proceeding proceeding, which might adversely affect the registration of the Adviser with the Commission.
Appears in 3 contracts
Samples: Purchase Agreement (Prospect Capital Corp), Purchase Agreement (Prospect Capital Corp), Purchase Agreement (Prospect Capital Corp)
Registration Under Advisers Act. The Adviser Advisor is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act, the 1940 Act or the 1940 Act applicable published rules and regulations thereunder from acting under the Investment Advisory Agreement for the Company as contemplated by the General Disclosure Package Preliminary Offering Memorandum and the ProspectusFinal Offering Memorandum. There does not exist any proceeding or, to the Adviser’s Advisor's knowledge, any facts or circumstances the existence of which could lead to any proceeding which might adversely affect the registration of the Adviser Advisor with the Commission.
Appears in 2 contracts
Samples: Purchase Agreement (Tortoise Gas & Oil Corp), Tortoise Gas & Oil Corp
Registration Under Advisers Act. The Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act or the 1940 Act from acting under the Investment Advisory Agreement for the Company as contemplated by the General Disclosure Package Time of Sale Prospectus and the Prospectus. There does not exist any proceeding or, to the Adviser’s knowledge, any facts or circumstances the existence of which could lead to any proceeding which might adversely affect the registration of the Adviser with the Commission.
Appears in 2 contracts
Samples: Purchase Agreement (Firsthand Technology Value Fund, Inc.), Purchase Agreement (Firsthand Technology Value Fund, Inc.)
Registration Under Advisers Act. The Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act or the 1940 Act from acting under the Investment Advisory Management Agreement for the Company as contemplated by the General Disclosure Package and the Prospectus. There does not exist any proceeding or, to the Adviser’s knowledge, any facts or circumstances the existence of which could lead to any proceeding which might adversely affect the registration of the Adviser with the Commission.
Appears in 2 contracts
Samples: Purchase Agreement (Horizon Technology Finance Corp), Purchase Agreement (Horizon Technology Finance Corp)
Registration Under Advisers Act. The Adviser Manager is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act or the 1940 Act from acting under the Investment Advisory Agreement for the Company as contemplated by the General Disclosure Package and the Prospectus. There does not exist any proceeding or, to the AdviserManager’s knowledge, any facts or circumstances the existence of which could lead to any proceeding which might adversely affect the registration of the Adviser Manager with the Commission.
Appears in 2 contracts
Samples: Underwriting Agreement (NGP Capital Resources Co), Underwriting Agreement (NGP Capital Resources Co)
Registration Under Advisers Act. The Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act, the 1940 Act or the 1940 Act applicable published rules and regulations thereunder from acting under the Investment Advisory Agreement for the Company as contemplated by the General Disclosure Package and the ProspectusCompany. There does not exist any proceeding or, to the Adviser’s knowledge, any facts or circumstances the existence of which could lead to any proceeding which might adversely affect the registration of the Adviser with the Commission.
Appears in 2 contracts
Samples: Purchase Agreement (Tortoise Capital Resources Corp), Purchase Agreement (Tortoise Capital Resources Corp)
Registration Under Advisers Act. The Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act, the 1940 Act or the 1940 Act applicable published rules and regulations thereunder from acting under the Investment Advisory Agreement for the Company as contemplated by the General Disclosure Package and the Prospectus. There does not exist any proceeding or, to the Adviser’s 's knowledge, any facts or circumstances the existence of which could lead to any proceeding which might adversely affect the registration of the Adviser with the Commission.
Appears in 1 contract
Samples: Blackridge Investment Corp
Registration Under Advisers Act. The Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act, the Investment Company Act or the 1940 Act applicable published rules and regulations thereunder from acting under the Investment Advisory Agreement as an investment adviser for the Company as contemplated by the General Disclosure Package Pre-Pricing Prospectus and the ProspectusProspectus (or any amendment or supplement thereto). There To the Adviser’s knowledge, there does not exist any proceeding or, to the Adviser’s knowledge, any facts or circumstances the existence of which could lead to any proceeding which might would adversely affect the registration of the Adviser with the Commission.
Appears in 1 contract
Registration Under Advisers Act. The Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act or the 1940 Act from acting under the Investment Advisory Agreement for the Company as contemplated by the General Disclosure Package and the Prospectus. There does not exist any proceeding or, to the Adviser’s knowledge, any facts or circumstances the existence of which could reasonably be expected to lead to any proceeding proceeding, which might adversely affect the registration of the Adviser with the Commission.
Appears in 1 contract
Registration Under Advisers Act. The Investment Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act or the 1940 Investment Company Act from acting under the Investment Advisory Management Agreement for the Company as contemplated by the General Disclosure Package and the Prospectus. There does not exist any proceeding or, to the Adviser’s knowledge, any facts or circumstances the existence of which could lead to any proceeding which might adversely affect the registration of the Adviser with the Commission.
Appears in 1 contract
Samples: Underwriting Agreement (PennantPark Floating Rate Capital Ltd.)
Registration Under Advisers Act. The Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act or the 1940 Act from acting under the Investment Advisory Agreement for the Company as contemplated by the Registration Statement, the General Disclosure Package and the Prospectus. There does not exist any proceeding or, to the Adviser’s knowledge, any facts or circumstances the existence of which could lead to any proceeding which might adversely affect the registration of the Adviser with the Commission.
Appears in 1 contract
Samples: Underwriting Agreement (Runway Growth Finance Corp.)
Registration Under Advisers Act. The Adviser Advisor is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act, the Investment Company Act or the 1940 Act applicable published rules and regulations thereunder from acting under the Investment Advisory Agreement as an investment adviser for the Company as contemplated by the General Disclosure Package Registration Statement and the ProspectusProspectus (or any amendment or supplement thereto). There does do not exist any proceeding proceedings, or, to the AdviserAdvisor’s knowledge, any facts or circumstances the existence of which could lead to any proceeding proceeding, which might would adversely affect the registration of the Adviser Advisor with the Commission.
Appears in 1 contract
Registration Under Advisers Act. The Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act, the 1940 Act or the 1940 Act applicable published rules and regulations thereunder from acting under the Investment Advisory Agreement for the Company as contemplated by the General Disclosure Package and the Prospectus. There does not exist any proceeding or, to the Adviser’s knowledge, any facts or circumstances the existence of which could lead to any proceeding which might adversely affect the registration of the Adviser with the Commission.
Appears in 1 contract
Samples: Purchase Agreement (Tortoise Capital Resources Corp)
Registration Under Advisers Act. The Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act, the Investment Company Act or the 1940 Act applicable published rules and regulations thereunder from acting under the Investment Advisory Agreement as an investment adviser for the Company as contemplated by the General Disclosure Package Registration Statement and the ProspectusProspectus (or any amendment or supplement thereto). There does do not exist any proceeding proceedings, or, to the Adviser’s knowledge, any facts or circumstances the existence of which could lead to any proceeding proceeding, which might would adversely affect the registration of the Adviser with the Commission.
Appears in 1 contract
Registration Under Advisers Act. The Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act or the 1940 Act from acting under the Investment Advisory Management Agreement for the Company as contemplated by the Registration Statement, the General Disclosure Package and the Prospectus. There does not exist any proceeding or, to the Adviser’s knowledge, any facts or circumstances the existence of which could lead to any proceeding which might adversely affect the registration of the Adviser with the Commission.
Appears in 1 contract
Registration Under Advisers Act. The Adviser is duly registered with the Commission as an investment adviser under the Advisers Act and is not prohibited by the Advisers Act or the 1940 Act from acting under the Investment Advisory Agreement for the Company as contemplated by the General Pricing Disclosure Package and the Prospectus. There does not exist any proceeding or, to the Adviser’s knowledge, any facts or circumstances the existence of which could lead to any proceeding proceeding, which might adversely affect the registration of the Adviser with the Commission.
Appears in 1 contract