Sales Material. Any advertising, sales literature or other promotional material (including “prospectus wrappers,” “broker kits,” “road show slides,” “road show scripts” and “electronic road show presentations”) authorized in writing by or prepared by the Company to be used in connection with the public offering of the Securities (collectively, “Sales Material”) do not and will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein in light of the circumstances under which they were made not misleading. Moreover, all Sales Material complies and will comply in all material respects with the applicable requirements of the 1933 Act (except that this representation and warranty does not apply to statements in or omissions from the Sales Material made in reliance upon and in conformity with information relating to the Underwriters furnished to the Company by the Underwriters expressly for use therein). Any certificate signed by any officer of the Company or the Adviser and delivered to the Underwriters or to counsel for the Underwriters shall be deemed a representation and warranty by the Company or the Adviser (as applicable) to the Underwriters as to the matters covered thereby.
Appears in 7 contracts
Samples: Underwriting Agreement (Great Elm Capital Corp.), Underwriting Agreement (Great Elm Capital Corp.), Underwriting Agreement (Great Elm Capital Corp.)
Sales Material. Any advertising, sales literature or other promotional material (including “prospectus wrappers,” “broker kits,” “road show slides,” “road show scripts” and “electronic road show presentations”) authorized in writing by or prepared by the Company to be used in connection with the public offering of the Securities (collectively, “Sales Material”) do not and will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein in light of the circumstances under which they were made not misleading. Moreover, all Sales Material complies and will comply in all material respects with the applicable requirements of the 1933 Act (except that this representation and warranty does not apply to statements in or omissions from the Sales Material made in reliance upon and in conformity with information relating to the Underwriters furnished to the Company by the Underwriters expressly for use therein). Any certificate signed by any officer of the The Company or the Adviser (including its agents and delivered to representatives, other than the Underwriters in their capacity as such) has not prepared, made, used, authorized, approved or referred to counsel for and will not prepare, make, use, authorize, approve or refer to any “written communication” (as defined in Rule 405 under the Underwriters shall be deemed a representation and warranty Act) that constitutes an offer to sell or solicitation of an offer to buy the Securities other than Sales Materials approved in advance of first use by the Company or the Adviser (as applicable) to the Underwriters as to the matters covered therebyRepresentative.
Appears in 4 contracts
Samples: Underwriting Agreement (Great Elm Capital Corp.), Underwriting Agreement (Great Elm Capital Corp.), Underwriting Agreement (Great Elm Capital Corp.)