Common use of United States Securities Laws Clause in Contracts

United States Securities Laws. (a) The Company is a “foreign private issuer” within the meaning of Rule 3b-4 under the Exchange Act. (b) No securities of the Company are registered or required to be registered under Section 12 of the Exchange Act, and the Company is not required to file reports under Section 13 or Section 15(d) of the Exchange Act. (c) The Company is not registered, and is not required to be registered, as an “investment company” under the United States Investment Company Act of 1940, as amended.

Appears in 2 contracts

Samples: Arrangement Agreement (Northern Dynasty Minerals LTD), Arrangement Agreement (Northern Dynasty Minerals LTD)

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United States Securities Laws. (a) The Company is a "foreign private issuer" within the meaning of Rule 3b-4 under the Exchange Act. (b) No securities of the Company are registered or required to be registered under Section 12 of the Exchange Act, and the Company is not required to file reports under Section 13 or Section 15(d) of the Exchange Act.; (c) The Company is not registered, and is not required to be registered, as an "investment company" under the United States Investment Company Act of 1940, as amended.

Appears in 2 contracts

Samples: Acquisition Agreement (New Gold Inc. /FI), Acquisition Agreement (New Gold Inc. /FI)

United States Securities Laws. (ai) The Company is a “foreign private issuer” within the meaning of as defined in Rule 3b-4 under the U.S. Exchange Act.; and (bii) No securities of the The Company are is not registered or required to be registered under Section 12 of the Exchange Act, and the Company is not required to file reports under Section 13 or Section 15(d) of the Exchange Act. (c) The Company is not registered, and is not required to be registered, as an “investment company” under the United States Investment Company Act of 1940, as amended.. 51175158.1 35

Appears in 1 contract

Samples: Arrangement Agreement (Equinox Gold Corp.)

United States Securities Laws. (a) The the Company is a “foreign private issuer” within the meaning of Rule 3b-4 under the Exchange Act. (b) No securities of the Company are not an investment company registered or required to be registered under Section 12 of the Exchange Act, and the Company is not required to file reports under Section 13 or Section 15(d) of the Exchange Act. (c) The Company is not registered, and is not required to be registered, as an “investment company” under the United States U.S. Investment Company Act of 1940, as amended. (b) the Company is a “foreign private issuer” (as such term is defined in Rule 3b-1 under the U.S. Securities Exchange Act of 1934, as amended (the “Exchange Act”)). (c) Persons holding not more than 40% of the Common Shares are U.S. holders for purposes of Rule 14d-1(b) under the Exchange Act.

Appears in 1 contract

Samples: Support Agreement (Rio Narcea Gold Mines LTD)

United States Securities Laws. (a) The the Company is a “foreign private issuer” within the meaning of Rule 3b-4 under the Exchange Act. (b) No securities of the Company are not an investment company registered or required to be registered under Section 12 of the Exchange Act, and the Company is not required to file reports under Section 13 or Section 15(d) of the Exchange Act. (c) The Company is not registered, and is not required to be registered, as an “investment company” under the United States U.S. Investment Company Act of 1940, as amended. (b) the Company is a "foreign private issuer" (as such term is defined in Rule 3b-1 under the U.S. Securities Exchange Act of 1934, as amended (the "Exchange Act")). (c) Persons holding not more than 40% of the Common Shares are U.S. holders for purposes of Rule 14d-1(b) under the Exchange Act.

Appears in 1 contract

Samples: Support Agreement (Lundin Mining CORP)

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United States Securities Laws. (a) The Company is a “foreign private issuer” within the meaning of Rule 3b-4 405 under the Exchange 1933 Act. (b) No securities of the The Company are is not registered or required to be registered under Section 12 of the Exchange Act, and the Company is not required to file reports under Section 13 or Section 15(d) of the Exchange Act. (c) The Company is not registered, and is not required to be registered, as an “investment company” under pursuant to the United States Investment Company Act of 1940, as amended. (c) No class of securities of the Company is registered or required to be registered under Section 12 of the U.S. Exchange Act, nor does the Company have any reporting obligation under Section 15(d) of the U.S. Exchange Act.

Appears in 1 contract

Samples: Arrangement Agreement (HEXO Corp.)

United States Securities Laws. (a) The Company is a “foreign private issuer” within the meaning of Rule 3b-4 405 under the Exchange U.S. Securities Act. (b) No class of securities of the Company are is registered or required to be registered under Section 12 of the U.S. Exchange Act, and nor does the Company is not required to file reports have any reporting obligation under Section 13 or Section 15(d) of the U.S. Exchange Act. (c) The Company is not registered, and is not registered or required to be registered, registered as an “investment company” under pursuant to the United States Investment Company Act of 1940, as amended.

Appears in 1 contract

Samples: Arrangement Agreement (HEXO Corp.)

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