Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of Investment Company Act.
Appears in 12 contracts
Sources: Sales Agreement (SELLAS Life Sciences Group, Inc.), Sales Agreement (scPharmaceuticals Inc.), Sales Agreement (Nautilus Biotechnology, Inc.)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock Placement Shares will not be, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 9 contracts
Sources: At Market Issuance Sales Agreement (XOMA Corp), Sales Agreement (Cyclacel Pharmaceuticals, Inc.), Common Stock Sales Agreement (IsoRay, Inc.)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and after receipt of payment for the Common Stock Shares will not be, an “"investment company” " within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 8 contracts
Sources: Underwriting Agreement (Gander Mountain Co), Underwriting Agreement (Nuvasive Inc), Underwriting Agreement (Gart Sports Co)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock Placement Shares will not be, an “investment company” within the meaning of Investment Company Act.
Appears in 8 contracts
Sources: Sales Agreement (Syndax Pharmaceuticals Inc), Sales Agreement (Syndax Pharmaceuticals Inc), Sales Agreement (Syndax Pharmaceuticals Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of the Investment Company Act.
Appears in 7 contracts
Sources: Sales Agreement (Cabaletta Bio, Inc.), Sales Agreement (Cabaletta Bio, Inc.), Sales Agreement (Cabaletta Bio, Inc.)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”,” which term, as used herein, includes the rules and regulations of the Commission promulgated thereunder). The Company is not, and after receipt of payment for the Common Stock Securities will not be, an “investment company” within the meaning of the Investment Company Act.
Appears in 7 contracts
Sources: Underwriting Agreement (Cit Group Inc), Underwriting Agreement (Cit Group Inc), Underwriting Agreement (Cit Group Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and immediately after receipt of payment for the Common Stock Shares will not be, an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act.
Appears in 7 contracts
Sources: Stock Purchase Agreement (MiNK Therapeutics, Inc.), Stock Purchase Agreement (Syros Pharmaceuticals, Inc.), Stock Purchase Agreement (Syros Pharmaceuticals, Inc.)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not be, either after receipt of payment for the Common Stock will not beShares or after the application of the proceeds therefrom as described under “Use of Proceeds” in the Prospectus, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 7 contracts
Sources: Open Market Sale Agreement (Pluristem Therapeutics Inc), Open Market Sale Agreement (Pluristem Therapeutics Inc), Open Market Sale Agreement (Arbutus Biopharma Corp)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 7 contracts
Sources: Sales Agreement (Anthera Pharmaceuticals Inc), Sales Agreement (Transition Therapeutics Inc.), Sales Agreement (EnteroMedics Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended amended, and the rules and regulations promulgated thereunder (the “Investment Company Act”). The Company is not, and nor will be, after receipt of payment for the Common Stock will not beSecurities and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in the Disclosure Package and the Final Prospectuses, required to register as an “investment company” within the meaning of the Investment Company Act.
Appears in 6 contracts
Sources: Underwriting Agreement (Bce Inc), Underwriting Agreement (Bce Inc), Underwriting Agreement (Bce Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock Shares will not be, an “investment company” within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 6 contracts
Sources: Underwriting Agreement (Nuvasive Inc), Underwriting Agreement (Nuvasive Inc), Underwriting Agreement (Capital Lodging)
Company Not an “Investment Company. The Company has been advised is not, and after receipt of payment for the rules and requirements under Shares will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of Investment Company Act.
Appears in 5 contracts
Sources: Sales Agreement (Aclaris Therapeutics, Inc.), Sales Agreement (22nd Century Group, Inc.), Sales Agreement (Aclaris Therapeutics, Inc.)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”,” which term, as used herein, includes the rules and regulations of the Commission promulgated thereunder). The Company is not, and after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of the Investment Company Act.
Appears in 5 contracts
Sources: Underwriting Agreement (Graphic Packaging Holding Co), Underwriting Agreement (Graphic Packaging Holding Co), Underwriting Agreement (Clayton Dubilier & Rice Fund v L P)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and after receipt of payment for the Common Stock Shares will not be, an “"investment company” " within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Sources: Underwriting Agreement (McCormick & Schmicks Seafood Restaurants Inc.), Underwriting Agreement (McCormick & Schmicks Seafood Restaurants Inc.), Underwriting Agreement (Spirit Finance Corp)
Company Not an “Investment Company. The Company has been advised is not and, after giving effect to the offering and sale of the rules Shares and requirements under the application of the proceeds thereof as described in the Prospectus, will not be an “investment company” as defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of Investment Company Act.
Appears in 3 contracts
Sources: Sales Agreement (Zymeworks Inc.), Open Market Sale Agreement (Zymeworks BC Inc.), Open Market Sale Agreement (Zymeworks Inc.)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and immediately after receipt of payment for the Common Stock Shares and the Warrants will not be, an “investment company” within the meaning of the Investment Company Act and shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Sources: Securities Purchase Agreement (Vertical Communications, Inc.), Securities Purchase Agreement (Vertical Communications, Inc.), Securities Purchase Agreement (Vertical Communications, Inc.)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Act”).The Company is not, and after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of Investment Company Act.
Appears in 3 contracts
Sources: Sales Agreement (Synlogic, Inc.), Sales Agreement (Synlogic, Inc.), Sales Agreement (Synlogic, Inc.)
Company Not an “Investment Company. The Company has been advised is not, and after receipt of payment for the rules and requirements under Common Shares will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of Investment Company Act.
Appears in 3 contracts
Sources: Underwriting Agreement (Caci International Inc /De/), Underwriting Agreement (Molina Healthcare Inc), Underwriting Agreement (Molina Healthcare Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock Shares will not be, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Sources: Underwriting Agreement (Novatel Wireless Inc), Underwriting Agreement (Acadia Pharmaceuticals Inc), Underwriting Agreement (Aeroflex Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock Securities will not be, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Sources: Purchase Agreement (California Steel Industries Inc), Purchase Agreement (Speedway Motorsports Inc), Purchase Agreement (Chattem Canada Holdings Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Sources: Underwriting Agreement (Chuy's Holdings, Inc.), Underwriting Agreement (Chuy's Holdings, Inc.), Underwriting Agreement (Red Robin Gourmet Burgers Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock Offered Shares will not be, an “investment company” within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Sources: Underwriting Agreement (Warren Resources Inc), Underwriting Agreement (Sanders Morris Harris Group Inc), Underwriting Agreement (Active Network Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and after receipt of payment for the Common Stock Securities will not be, an “"investment company” " within the meaning of the Investment Company Act, and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Sources: Underwriting Agreement (Cpi Aerostructures Inc), Underwriting Agreement (Cpi Aerostructures Inc), Underwriting Agreement (Cpi Aerostructures Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended. The Company is not, and immediately after receipt of payment for the Common Stock Notes will not be, required to register as an “investment company” within under the meaning of Investment Company ActAct of 1940, as amended.
Appears in 2 contracts
Sources: Note Purchase Agreement (Providence Service Corp), Note Purchase Agreement (Providence Service Corp)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of Investment Company ActAct of 1940, as amended.
Appears in 2 contracts
Sources: Sales Agreement (Glycomimetics Inc), Sales Agreement (Glycomimetics Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Sources: Underwriting Agreement (Horizon Pharma PLC), Underwriting Agreement (McCormick & Schmicks Seafood Restaurants Inc.)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"), as related to the offering. The Company is not, and after receipt of payment for the Common Stock Shares will not be, an “"investment company” " within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Sources: Underwriting Agreement (Coldwater Creek Inc), Underwriting Agreement (Coldwater Creek Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and immediately after receipt of payment for the Common Stock Shares will not be, an “investment company” within the meaning of the Investment Company Act and shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Sources: Stock Purchase Agreement (Artisoft Inc), Stock Purchase Agreement (Artisoft Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock Placement Shares will not be, an “investment company” within the meaning of the Investment Company Act.
Appears in 2 contracts
Sources: Sales Agreement (Marathon Patent Group, Inc.), Common Stock Sales Agreement (Us Energy Corp)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock Offered Shares will not be, an “investment company” within the meaning of Investment Company Act.
Appears in 2 contracts
Sources: Underwriting Agreement (Accentia Biopharmaceuticals Inc), Underwriting Agreement (Accentia Biopharmaceuticals Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock Securities will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”) and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Guided Therapeutics Inc), Securities Purchase Agreement (Guided Therapeutics Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Sources: Sales Agreement (Tobira Therapeutics, Inc.), Sales Agreement (Alimera Sciences Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock will not bebe required to register as, an “investment company” within the meaning of Investment Company Act.
Appears in 2 contracts
Sources: Sales Agreement (GeneDx Holdings Corp.), Sales Agreement (GeneDx Holdings Corp.)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and after receipt of payment for the Common Stock will not be, be required to register as an “"investment company” within " under the meaning of Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock Notes will not be, an “investment company” or an entity “controlled” by an investment company within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock Shares will not be, an “investment company” within the meaning of Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and after receipt of payment for the Common Stock Shares will not be, an “"investment company” " within the meaning of Investment Company Act and will not take any action that it would cause it to become subject to the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of Investment Company Act.Act of 1940, as amended.
Appears in 1 contract
Sources: Sales Agreement (Glycomimetics Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and or after receipt of payment for the Common Stock Securities will not be, an “investment company” within the meaning of the Investment Company Act, and the Company will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Sources: Purchase Agreement (Nexstar Broadcasting Group Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock Shares will not be, an “"investment company” " within the meaning of Investment Company ActAct of 1940.
Appears in 1 contract
Sources: Underwriting Agreement (Corporatefamily Solutions Inc)
Company Not an “Investment Company. The Company has and its subsidiaries have been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Neither the Company is notnor any of its subsidiaries is, and or after receipt of payment for the Common Stock Notes will not be, an “"investment company” " within the meaning of the Investment Company Act, and each of the Company and its subsidiaries will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Sources: Underwriting Agreement (Chattem Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock Offered Securities will not be, an “investment company” within the meaning of the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”,” which term, as used herein, includes the rules and regulations of the Commission promulgated thereunder). The Neither the Company is notnor any of the Guarantors is, and after receipt of payment for the Common Stock Securities will not be, an “investment company” within the meaning of Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and immediately after receipt of payment for the Common Stock Securities will not be, an “"investment company” " or an entity "controlled" by an "investment company" within the meaning of the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and after receipt of payment for the Common Stock Shares will not be, an “"investment company” " within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock Offered Shares will not be, an “investment company” within the meaning of the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock Shares will not be, an “investment company” within the meaning of Investment Company Act.
Appears in 1 contract
Sources: Sales Agreement (Pixelworks, Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of Investment Company Act.
Appears in 1 contract
Sources: Sales Agreement (Atreca, Inc.)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and after receipt of payment for the Common Stock Securities will not be, an “"investment company” " within the meaning of Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and immediately after receipt of payment for the Common Stock Shares will not be, an “"investment company” " within the meaning of the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended. The Company is not, and immediately after receipt of payment for the Common Stock Notes will not be, an “investment company” within the meaning of the Investment Company ActAct of 1940, as amended.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and immediately after receipt of payment for the Common Stock Preferred Shares will not be, an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and immediately after receipt of payment for the Common Stock will not be, be required to register as an “investment company” within the meaning of Investment Company ActAct of 1940, as amended.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised is not, and after receipt of payment for the rules and requirements under Common Stock pursuant to this Agreement will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock will conduct its business in a manner so that it will not be, an “investment company” within become subject to the meaning of Investment Company Act.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and immediately after receipt of payment for the Common Stock Notes and Warrants will not be, an “investment company” within the meaning of the Investment Company Act.
Appears in 1 contract
Sources: Note and Warrant Purchase Agreement (Neurologix Inc/De)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended. The Company is not, and immediately after receipt of payment for the Common Stock Notes will not be, an “investment company” within the meaning of of, and required to be registered under, the Investment Company ActAct of 1940, as amended.
Appears in 1 contract
Sources: Note Purchase Agreement (Harman International Industries Inc /De/)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and immediately after receipt of payment for the Common Stock Offered Shares will not be, an “investment company” within the meaning of the Investment Company Act.
Appears in 1 contract
Sources: Underwriting Agreement (Curis Inc)
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and after receipt of payment for the Common Stock will not be, an “investment company” within the meaning of Investment Company Act of 1940, as amended (the “Investment Company Act”) and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract