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 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
Samples: Sales Agreement (Cyclacel Pharmaceuticals, Inc.), Common Stock (Organovo Holdings, Inc.), 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 amended, and the rules and regulations promulgated thereunder (the “Investment Company Act”). The Company is not, and after receipt of payment for the Placement Shares Notes and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in the Disclosure Package and the Prospectus will not be, required to register as 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
Samples: Underwriting Agreement (Perkinelmer Inc), Underwriting Agreement (Nippon Telegraph & Telephone Corp), Underwriting Agreement (Ross Stores 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 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 8 contracts
Samples: 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 Placement Common 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
Samples: Underwriting Agreement (Gart Sports Co), Underwriting Agreement (Gander Mountain Co), Underwriting Agreement (Nuvasive 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 Placement Shares will not beor 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
Samples: Open Market Sale (Arbutus Biopharma Corp), Open Market Sale (Pluristem Therapeutics Inc), Open Market Sale (Pluristem 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 Placement Shares 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
Samples: Sales Agreement (Transition Therapeutics Inc.), Underwriting Agreement (Tranzyme 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 (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 Placement Shares 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 7 contracts
Samples: 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 after receipt of payment for the Placement Shares 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 6 contracts
Samples: Common Stock (Magenta Therapeutics, 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”). The Company is not, and after receipt of payment for the Placement Shares and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the preliminary prospectus and the Prospectus 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
Samples: Underwriting Agreement (McCormick & Schmicks Seafood Restaurants Inc.), Placement Agent Agreement (Atossa Genetics Inc), Underwriting Agreement (Sonic Foundry 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 Placement Common 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
Samples: Underwriting Agreement (Capital Lodging), Underwriting Agreement (Nuvasive Inc), Underwriting Agreement (Nuvasive 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 Placement Offered Shares will not beor after the application of the proceeds therefrom as described under “Use of Proceeds” in the Registration Statement, the Time of Sale Prospectus and 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 6 contracts
Samples: Underwriting Agreement (Acadia Pharmaceuticals Inc), Underwriting Agreement (Acadia Pharmaceuticals Inc), Underwriting Agreement (Acadia 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 immediately after receipt of payment for the Placement Shares will not be, an “investment company” or an entity “controlled” by 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 6 contracts
Samples: Stock Purchase Agreement (Syros Pharmaceuticals, Inc.), Stock Purchase Agreement (Incyte Corp), Stock Purchase Agreement (Incyte 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 will not, either after receipt of payment for the Placement Offered Shares will not or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, be, an “investment company” within the meaning of Investment Company Act and will will, during the Prospectus Delivery Period, conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 5 contracts
Samples: Underwriting Agreement (Celldex Therapeutics, Inc.), Underwriting Agreement (Celldex Therapeutics, Inc.), Underwriting Agreement (Celldex 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 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 5 contracts
Samples: Underwriting Agreement (Clayton Dubilier & Rice Fund v L P), Underwriting Agreement (Graphic Packaging Holding Co), Underwriting Agreement (Graphic Packaging Holding 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”,” 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 or after receipt of payment for the Placement Shares Securities and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Preliminary Prospectus and the Prospectus 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 4 contracts
Samples: Underwriting Agreement (Graphic Packaging Holding Co), Underwriting Agreement (Graphic Packaging Holding Co), Underwriting Agreement (Graphic Packaging Holding 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 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 Placement Shares 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 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 4 contracts
Samples: 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 Placement Shares Notes and application of the proceeds as described in the Preliminary Prospectus and the Prospectus, will not be, required to register as 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 4 contracts
Samples: Underwriting Agreement (Fluor Corp), Underwriting Agreement (Fluor Corp), Underwriting Agreement (Fluor 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 immediately after receipt of payment for the Placement Shares and the Warrants will not be, an “investment company” within the meaning of the Investment Company Act and will shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Samples: 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 Company is not, and after receipt of payment for the Placement Shares Securities will not be, an “"investment company” " within the meaning of the Investment Company Act 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
Samples: 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”). The Company is not, and after receipt of payment for the 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 of 1940, as amended (the “Investment Company Act”).
Appears in 3 contracts
Samples: Common Stock (BIND Therapeutics, Inc), Stock Sales Agreement (Corindus Vascular Robotics, Inc.), Sales Agreement (CONTRAFECT 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 Act”).The Company is not, and after receipt of payment for the Placement Shares 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
Samples: Sales Agreement (Synlogic, Inc.), Sales Agreement (Synlogic, Inc.), Sales Agreement (Synlogic, 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 Placement Shares will not beor after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable 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 3 contracts
Samples: Sales Agency Agreement (Chicago Bridge & Iron Co N V), Sales Agency Agreement (Evergreen Energy Inc), Agent Agreement (Raser Technologies 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 Placement Shares and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Preliminary Prospectus and the Prospectus 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
Samples: Underwriting Agreement (Derma Sciences, Inc.), Underwriting Agreement (Derma Sciences, Inc.), Underwriting Agreement (Derma 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 and each of its subsidiaries is not, and after receipt of payment for the Placement 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 is not, and after receipt of payment of the Offered Shares will not become subject to be, an entity "controlled" by and "investment company" within the meaning of the Investment Company Act.
Appears in 3 contracts
Samples: Pioneer Drilling Co, Pioneer Drilling Co, Pioneer Drilling 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 Placement Common 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
Samples: Underwriting Agreement (Acadia Pharmaceuticals Inc), Underwriting Agreement (Novatel Wireless 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 will not be, either after receipt of payment for the Placement Shares will not beor after the application of the proceeds therefrom as described under “Use of Proceeds” in the Registration Statement or the Prospectus, required to register as 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 under the Investment Company Act.
Appears in 3 contracts
Samples: Cti Biopharma Corp, Cti Biopharma Corp, Cti 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 Placement Common 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
Samples: Underwriting Agreement (McCormick & Schmicks Seafood Restaurants Inc.), Underwriting Agreement (Spirit Finance Corp), 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”). The Company is not, and after receipt of payment for the Placement Shares Units and the application of the proceeds therefrom as contemplated under the caption “Use of Proceeds” in each of the preliminary prospectus and the Prospectus 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
Samples: Underwriting Agreement (Quantum Group Inc /Fl), Underwriting Agreement (Quantum Group Inc /Fl), Underwriting Agreement (Quantum Group Inc /Fl)
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 Placement Shares 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
Samples: 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 Placement Shares Notes and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in the Disclosure Package and the Prospectus will not be, required to register as 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
Samples: Underwriting Agreement (Flir Systems Inc), Underwriting Agreement (Flir Systems Inc), Underwriting Agreement (Flir Systems 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 Placement 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
Samples: 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 will not be, either after receipt of payment for the Placement Offered Shares will not beor 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 3 contracts
Samples: Underwriting Agreement (BeyondSpring Inc.), Underwriting Agreement (BeyondSpring Inc.), Underwriting Agreement (BeyondSpring 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 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 3 contracts
Samples: 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 Placement Shares Securities and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the Preliminary Prospectus and the Prospectus 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
Samples: Underwriting Agreement (Derma Sciences, Inc.), Underwriting Agreement (Derma Sciences, Inc.)
Company Not an “Investment Company. The Company has been advised by its legal counsel 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 Placement Offered Shares and application of the proceeds thereof contemplated under “Use of Proceeds” in each of the Disclosure Package and the Prospectus 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
Samples: Underwriting Agreement (Wireless Ronin Technologies Inc), Underwriting Agreement (Wireless Ronin Technologies 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 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, nor will it be after giving effect to the offering and sale of the Shares.
Appears in 2 contracts
Samples: Agreement (Graphic Packaging Holding Co), Agreement (Graphic Packaging Holding 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 Placement Shares 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
Samples: 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 Placement 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
Samples: 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”). The Company is not, and after receipt of payment for the Placement Company Shares and the application of the proceeds thereof as contemplated under “Use of Proceeds” in the Prospectus 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
Samples: Underwriting Agreement (MWI Veterinary Supply, Inc.), Underwriting Agreement (MWI Veterinary Supply, 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 Placement 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 2 contracts
Samples: 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 Placement Shares and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in the Disclosure Package and the Prospectus 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 2 contracts
Samples: Underwriting Agreement (Eurand N.V.), Underwriting Agreement (Eurand N.V.)
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 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 Actof 1940, as amended.
Appears in 2 contracts
Samples: Sales Agreement (Syndax Pharmaceuticals Inc), Sales Agreement (Immune Design 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 Placement 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
Samples: Sales Agreement (Flux Power Holdings, Inc.), Sales Agreement (aTYR PHARMA 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 giving effect to the sale of payment for the Placement Shares Units and the application of the proceeds thereof as described in the Prospectus, will not be, an “"investment company” " within the meaning of the Investment Company Act Act, and agrees that it will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Underwriting Agreement (Unity Emerging Technology Venture One LTD), Underwriting Agreement (Grout Dianna)
Company Not an “Investment Company. The Company has been advised by its counsel of the rules and requirements under the U.S. Investment Company Act of 1940, as amended (the “"Investment Company Act”"). The Company is not, and after receipt of payment for the Placement Shares 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 2 contracts
Samples: Purchase Agreement (Rigel Pharmaceuticals Inc), Purchase Agreement (Rigel 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 Placement Shares and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in the Prospectus 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
Samples: Global Traffic Network, Inc., Global Traffic 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 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 2 contracts
Samples: Equity Distribution Agreement (EuroDry Ltd.), Common Stock (Innovate 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 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 2 contracts
Samples: 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”"), as related to the offering. The Company is not, and after receipt of payment for the Placement Common 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
Samples: Underwriting Agreement (Coldwater Creek Inc), Underwriting Agreement (Coldwater Creek Inc)
Company Not an “Investment Company. The Company has been advised is not, and after receipt of payment for the Shares will not be, and after the application of the rules proceeds thereof and requirements under the consummation of the Transactions will not be, an “investment company” within the meaning of 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 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 2 contracts
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 Placement Shares will not be, an “"investment company” " or an entity "controlled" by an "investment company" within the meaning of the Investment Company Act and will shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Convertible Preferred Stock Purchase Agreement (Fastnet Corp), Subscription Agreement (Miller Industries Inc /Tn/)
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 after receipt of payment for the Placement Shares Notes and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in the Disclosure Package and the Final Offering Memorandum 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
Samples: Purchase Agreement (Jakks Pacific Inc), Purchase Agreement (Salix Pharmaceuticals LTD)
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 Placement Shares 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
Samples: 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 Placement Shares Notes and application of the proceeds as described under "Use of Proceeds" in the Disclosure Package and the Final Offering Memorandum 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.. 8
Appears in 2 contracts
Samples: Purchase Agreement (Spartan Stores Inc), Spartan Stores 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 Placement Shares Units and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in the Registration Statement and the Prospectus 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
Samples: Underwriting Agreement (ProUroCare Medical Inc.), Underwriting Agreement (ProUroCare Medical 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 Placement Shares will not be, an “investment company” within the meaning of the Investment Company Act and will shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: 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 Placement Shares Units and the application of the proceeds thereof as contemplated under the caption "Use of Proceeds" in each of the preliminary prospectus and the Prospectus 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
Samples: Syngence Corp, Ascent Solar Technologies, 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 Placement Shares Notes will not be, required to register as an “investment company” within under 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 Actof 1940, as amended.
Appears in 2 contracts
Samples: Escrow 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”,” 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 Placement Shares Securities will not be, 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 2 contracts
Samples: Delhaize Group, Delhaize Group
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 after receipt of payment for the Placement Offered Shares will not be, an “investment company,” or an entity “controlled” by 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 2 contracts
Samples: Underwriting Agreement (Nuvelo Inc), Underwriting Agreement (Novastar Financial 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 1940 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 Placement Shares 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 1 contract
Samples: Underwriting Agreement (Ascent Capital 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 Placement 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 1 contract
Samples: 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 will not be, either after receipt of payment for the Placement Shares will not beor after the application of the proceeds therefrom as described under “Use of Proceeds” in the Prospectus, 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 will not be, either after receipt of payment for the Placement Shares will not beCompany ADSs or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable 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 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 Placement Shares Notes will not be, an “"investment company” " within the meaning of of, and required to be registered under, the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Actof 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 amended, and the rules and regulations promulgated thereunder (the “Investment Company Act”). The Company is not, and after receipt giving pro forma effect to the offering and sale of payment for the Placement Shares will Notes and the application of the proceeds thereof by the Company as contemplated under the caption “Use of Proceeds” in the Disclosure Package and the Prospectus would not be, required to register as 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 under the Investment Company Act.
Appears in 1 contract
Samples: Toyota Motor 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 Placement 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 1 contract
Samples: Richardson Electronics LTD/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”,” 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 Placement Shares Securities and the application of the proceeds as described in the Offering Memorandum, will not be, required to be registered as 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 registration under 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 Placement Shares 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 Placement Shares and the application of the proceeds thereof as contemplated under the caption "Use of Proceeds" in the preliminary prospectus and the Prospectus 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 will not be, either after receipt of payment for the Placement Shares will not beNotes or after the application of the proceeds therefrom, 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 Placement Shares to be sold by it 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
Samples: Metron Technology N V
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 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 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 Placement 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
Samples: KFX Inc
Company Not an “Investment Company. The Company has been advised of the rules and requirements under the United States Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and immediately after receipt of payment for the Placement Shares will not be, an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act and will shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Samples: Stock Subscription and Registration Rights Agreement (Peplin 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 Placement Shares Notes and Warrants 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
Samples: 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”,” 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 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, nor will it be after giving effect to the offering and sale of the Shares and the Share Repurchase.
Appears in 1 contract
Company Not an “Investment Company. The Company has been advised is not, and immediately after receipt of payment for the rules and requirements under Shares will not be, an “investment company” or an affiliate thereof or an entity “controlled” by 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 Placement Shares will not be, an “investment company” within the meaning of Investment Company Act and will shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Samples: Securities Purchase Agreement (Alexza 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 Placement Shares will not be, an “investment company” within the meaning of Investment Company Act of 1940, as amended and will conduct its business in a manner so that it will not become subject to the rules and regulations of the Commission thereunder (collectively 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 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 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 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 1 contract
Samples: 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 Placement Shares 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 1 contract
Samples: 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 will not be, either after receipt of payment for the Placement Shares will not beNotes or after the application of the proceeds therefrom, 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. Annex B-11.
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 Placement Shares will not be, an “"investment company” " within the meaning of the Investment Company Act 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 Placement Shares Securities and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in the Preliminary Prospectus and the Prospectus will not be, be required to register as 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 To the best knowledge of the Company, the Company is not, and immediately after receipt of payment for the Placement Shares will not be, an “"investment company” " or an entity "controlled" by an "investment company" within the meaning of the Investment Company Act and will shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Samples: Stock Purchase Agreement (Vitacube Systems 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 amended, and the rules and regulations promulgated thereunder (the “Investment Company Act”). The Company is not, and after receipt of payment for the Placement Shares Notes and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in the Disclosure Package and the Final Offering Memorandum 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 Placement Common 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
Samples: Barnes Group (Barnes 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 or after receipt of payment for the Placement Shares Securities will not be, an “investment company” within the meaning of the Investment Company Act 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
Samples: 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 immediately after receipt the purchase and sale of payment for the Placement Shares will not be, an “investment company” or, to the knowledge of the Company, an entity “controlled” by an “investment company” within the meaning of the Investment Company Act and will shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Samples: Stock Purchase Agreement (Advanced Life Sciences 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 will not be, either after receipt of payment for the Placement Offered Shares will not beor after the application of the proceeds therefrom as described under "Use of Proceeds" in each Applicable 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 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 Placement Shares Units will not be, an “Investment Company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act and will shall 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 based upon the accuracy of Purchaser's representations immediately after receipt of payment for the Placement Notes, the Shares and the Warrants will not be, an “"investment company” " or an entity "controlled" by an "investment company" within the meaning of the Investment Company Act and will shall 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 immediately after receipt of payment for the Placement Preferred Shares will not be, an “investment company” or an entity “controlled” by 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 Placement Shares to be sold by the Company 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 19401940 (as amended, 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 Placement Shares Notes 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
Samples: Purchase Agreement (Delhaize Group)
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 Placement Shares Securities and the application of the proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the preliminary prospectus and the Prospectus 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 Placement Common Shares and application of such proceeds in the manner described in the Prospectus under “Use of Proceeds” 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”)amended. The Company is not, and immediately after receipt of payment for the Placement Shares Notes will not be, an “investment company” within the meaning of of, and required to be registered under, the Investment Company Act and will conduct its business in a manner so that it will not become subject to the Investment Company Actof 1940, as amended.
Appears in 1 contract
Samples: 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 after receipt of payment for the Placement 2,000,000 Shares issued by the Company and application of the proceeds as described in the Prospectus under “Use of Proceeds” 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
