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 Offered Shares 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, 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
Sources: 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”). The Company is not, and will not, either after receipt of payment for the Offered Shares or after the Notes and application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable 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, 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 4 contracts
Sources: 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”,” 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 will not, either or after receipt of payment for the Offered Shares or after Securities and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectus, of the Preliminary Prospectus and the Prospectus will be, an “investment company” within the meaning of Investment Company Act and 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 4 contracts
Sources: 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 (the “Investment Company Act”). The Company is not, and will notnot be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable the Registration Statement or the Prospectus, be, required to register as an “investment company” within the meaning of Investment Company Act and will, during the Prospectus Delivery Period, conduct its business in a manner so that it will not become subject to under the Investment Company Act.
Appears in 3 contracts
Sources: Open Market Sale Agreement (Cti Biopharma Corp), Open Market Sale Agreement (Cti Biopharma Corp), Open Market Sale Agreement (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 and each of its subsidiaries is not, and will not, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, will not be, an “"investment company” " within the meaning of Investment Company Act and willis not, during and after receipt of payment of the Prospectus Delivery Period, conduct its business in a manner so that it 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
Sources: Underwriting Agreement (Pioneer Drilling Co), Underwriting Agreement (Pioneer Drilling Co), Underwriting Agreement (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 will notnot be, either after receipt of payment for the Offered Shares 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, during the Prospectus Delivery Period, will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Sources: Sales Agency Agreement (Chicago Bridge & Iron Co N V), Sales Agency Agreement (Evergreen Energy Inc), Placement 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 will notnot be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable the Prospectus, be, an “investment company” within the meaning of the Investment Company Act and willof 1940, during as amended (the Prospectus Delivery Period, conduct its business in a manner so that it will not become subject to the “Investment Company Act”).
Appears in 3 contracts
Sources: Open Market Sale Agreement (CASI Pharmaceuticals, Inc.), Open Market Sale Agreement (General Maritime Corp / MI), Open Market Sale Agreement (General Maritime Corp / MI)
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 notnot be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable the Prospectus, be, an “investment company” within the meaning of Investment Company Act and will, during the Prospectus Delivery Period, 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 (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 amended, and the rules and regulations of the SEC thereunder (collectively, the “Investment Company Act”). The Company is not, and will notnot be, either after receipt of payment for the Offered Shares Securities or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable the Registration Statement, the Time of Sale Prospectus and the Prospectus, be, an “investment company” within the meaning of Investment Company Act and will, during the Prospectus Delivery Period, 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 (Green Plains Inc.), Underwriting Agreement (Green Plains Inc.), Underwriting Agreement (Green Plains 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, either after receipt of payment for the Offered Shares or after Notes and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectus, 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, 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 3 contracts
Sources: 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 will not, either after receipt of payment for the Offered Shares or after and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectus, of the Preliminary Prospectus and the Prospectus will not be, an “investment company” within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, 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 (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 is not, and will not, either after receipt of payment for the Offered Shares or after Units and the application of the proceeds therefrom as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectus, of the preliminary prospectus and the Prospectus will not be, an “investment company” within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, 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 (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 will not, either after receipt of payment for the Offered Placement Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, will not be, an “investment company” within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, 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 (Flux Power Holdings, Inc.), Common Stock 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 will not, either after receipt of payment for the Offered Placement Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, will not be, an “"investment company” " within the meaning of Investment Company Act and will, during the Prospectus Delivery Period, will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Sources: Equity Distribution Agreement (EuroDry Ltd.), Sales Agreement (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 will not, either after receipt of payment for the Offered Shares or after and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectus, the Prospectus will not be, an “investment company” within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, 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 (Global Traffic Network, Inc.), Underwriting Agreement (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 will not, either after receipt giving effect to the sale of payment for the Offered Shares or after Units and the application of the proceeds therefrom thereof as described under “Use of Proceeds” in each Applicable the Prospectus, will not be, an “"investment company” " within the meaning of the Investment Company Act Act, and will, during the Prospectus Delivery Period, 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
Sources: Underwriting Agreement (Unity Emerging Technology Venture One LTD), Underwriting Agreement (Grout Dianna)
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 Offered Company Shares or after and the application of the proceeds therefrom thereof as described contemplated under “Use of Proceeds” in each Applicable Prospectus, the Prospectus will not be, an “investment company” within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, 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 (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 will not, either not be after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable the Registration Statement, the Time of Sale Prospectus and the Prospectus, be, an “investment company” within the meaning of Investment Company Act and 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 2 contracts
Sources: Underwriting Agreement (Spyre Therapeutics, Inc.), Underwriting Agreement (Spyre 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 will not, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, be, Securities will not be an “investment company” within the meaning of Investment Company Act and will, during the Prospectus Delivery Period, 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 (Delhaize Group), Underwriting 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 will not, either after receipt of payment for the Offered Shares or after and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectus, the Disclosure Package and the Prospectus will not be, an “investment company” within the meaning of Investment Company Act and 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 2 contracts
Sources: 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 will not, either after receipt of payment for the Offered Shares or after Units and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectus, the Registration Statement and the Prospectus will not be, an “investment company” within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, 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 (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 will notnot be, either after receipt of payment for the Offered Shares Notes or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, betherefrom, an “investment company” within the meaning of Investment Company Act and will, during the Prospectus Delivery Period, will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Sources: Note Purchase Agreement (Horizon Pharma, Inc.), Note Purchase Agreement (Opko Health, 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 will not, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, will not be, an “investment company,” or an entity “controlled” by an “investment company,” within the meaning of Investment Company Act and will, during the Prospectus Delivery Period, 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 (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 Act”,” which term, as used herein, includes the rules and regulations of the Commission promulgated thereunder). The Company is not, and will not, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, be, not an “investment company” within the meaning of Investment Company Act and will, during the Prospectus Delivery Period, 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
Sources: 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 will not, either after receipt of payment for the Offered Shares or after Notes and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectus, the Disclosure Package and the Final Offering Memorandum will not be, an “investment company” within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Sources: 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 will not, either after receipt of payment for the Offered Shares or after Units and the application of the proceeds therefrom thereof as described contemplated under “the caption "Use of Proceeds” " in each Applicable Prospectus, of the preliminary prospectus and the Prospectus will not be, an “"investment company” " within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, 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 (Syngence Corp), Underwriting Agreement (Ascent Solar Technologies, 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 will not, either after receipt of payment for the Offered Shares or after the and application of the proceeds therefrom as described thereof contemplated under “Use of Proceeds” in each Applicable Prospectus, of the Disclosure Package and the Prospectus will not be, an “investment company” within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, 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 (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”"). The Company is not, and will not, either immediately after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, will not be, an “"investment company” " or an entity "controlled" by an "investment company" within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Sources: Series a Convertible Preferred Stock Purchase Agreement (Fastnet Corp), Subscription Agreement (Miller Industries Inc /Tn/)
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 will not, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, will not be, an “"investment company” " or an entity "controlled" by an "investment company" within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Sources: Placement Agency Agreement (Rigel Pharmaceuticals Inc), Placement Agency 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 will not, either after receipt of payment for the Offered Shares or after Securities and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectus, of the Preliminary Prospectus and the Prospectus will not be, an “investment company” within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, 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 (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 is not, and will not, either after receipt of payment for the Offered Shares or after the Notes and application of the proceeds therefrom as described under “"Use of Proceeds” " in each Applicable Prospectus, the Disclosure Package and the Final Offering Memorandum will not be, an “"investment company” " within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, will conduct its business in a manner so that it will not become subject to the Investment Company Act.. 8
Appears in 2 contracts
Sources: Purchase Agreement (Spartan Stores Inc), Purchase Agreement (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 will not, either after receipt of payment for the Offered Shares Securities or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable the Registration Statement, the Time of Sale Prospectus or the Prospectus, will not be, an “investment company” within the meaning of Investment Company Act and 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 2 contracts
Sources: Underwriting Agreement (Dianthus Therapeutics, Inc. /DE/), Underwriting Agreement (Dianthus Therapeutics, 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 will not, either after receipt of payment for the Offered Shares or after Shares, consummation of the transactions as described in the Prospectus under "Summary—The Transactions" and application of the proceeds therefrom as described in the Prospectus under “"Use of Proceeds” in each Applicable Prospectus, " will not be, an “"investment company” " within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, 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 notnot be, either after receipt of payment for the Offered Firm Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, be, registered or required to register as an “investment company” within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, 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 notnot be, either after receipt of payment for the Offered Shares 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, 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 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 notnot be, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable the Registration Statement, the Time of Sale Prospectus and the Prospectus, be, an “investment company” within the meaning of Investment Company Act and will, during the Prospectus Delivery Period, 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 (Green Plains Renewable Energy, 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 and the rules and regulations promulgated thereunder (collectively, the “Investment Company Act”). The Company is not, and will not, either after receipt of payment for the Offered Shares or after Units and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectus, the preliminary prospectus and the Prospectus will not be, an “investment company” within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, 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 United States Investment Company Act of 1940, as amended (the “Investment Company Act”). The Company is not, and will not, either immediately after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, will not be, an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Sources: 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 amended, and the rules and regulations promulgated thereunder (the “Investment Company Act”). The Company is not, and will not, either after receipt of payment for the Offered Shares or after Notes and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectus, the Disclosure Package and the Final Offering Memorandum will not be, an “investment company” within the meaning of Investment Company Act and 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 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 notnot be, either after receipt of payment for the Offered Shares Securities or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable the Registration Statement, the Time of Sale Prospectus or the Prospectus, be, required to register as an “investment company” within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, 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, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, will not be, an “"investment company” " within the meaning of Investment Company Act and will, during the Prospectus Delivery Period, 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 (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”). The Company is not, and will not, either after receipt of payment for the Offered 2,000,000 Shares or after issued by the Company and application of the proceeds therefrom as described in the Prospectus under “Use of Proceeds” in each Applicable Prospectus, will not be, an “investment company” within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, 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, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, be, required to register as an “investment company” within under the meaning of Investment Company Act of 1940, as amended (the “Investment Company Act”), and 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 1 contract
Company Not an “Investment Company. The Company has been advised is not, and after receipt of payment for the Shares and the application of the rules proceeds thereof as contemplated under the caption “Use of Proceeds” in each of the preliminary prospectus and requirements under the Prospectus 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 will not, either after receipt of payment for the Offered Shares 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, 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 1 contract
Sources: Underwriting Agreement (Cal Dive International, 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, either after receipt of payment for the Offered Shares or immediately after the application purchase and sale of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, 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, during the Prospectus Delivery Period, shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Sources: 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 notnot be, either after receipt of payment for the Offered Firm Shares and the Optional Shares 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 the Investment Company Act and willof 1940, during as amended (the Prospectus Delivery Period, 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, either after receipt of payment for the Offered Shares or after and the application of the proceeds therefrom thereof as described contemplated under “the heading "Use of Proceeds” " in each Applicable Prospectus, the preliminary prospectus and the Prospectus will not be, an “"investment company” " within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, 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 is not, and after receipt of payment for the Units and the application of the rules proceeds thereof as contemplated under the caption “Use of Proceeds” in the preliminary prospectus and requirements under the Prospectus 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 will not, either after receipt of payment for the Offered Shares 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, during the Prospectus Delivery Period, conduct its business in a manner so that it will not become subject to the Investment Company ActAct at all times prior to the consummation of the Business Combination.
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, either after receipt of payment for the Offered Shares or after Securities and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectus, of the preliminary prospectus and the Prospectus will not be, an “investment company” within the meaning of Investment Company Act and 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 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 notnot be, either after receipt of payment for the Offered Shares Securities 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, during the Prospectus Delivery Period, 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, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, will not be, an “"investment company” " within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, 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 (KFX 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 notnot be, either after receipt of payment for the Offered Shares 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, during the Prospectus Delivery Period, 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, either immediately after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, Securities will not be, an “"investment company” " or an entity "controlled" by an "investment company" within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, 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 will notnot be, either after receipt of payment for the Offered Shares 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 the Investment Company Act and willof 1940, during as amended (the Prospectus Delivery Period, 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 will not, either immediately after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, will not be, an “"investment company” " or an entity "controlled" by an "investment company" within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Sources: 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 (the “Investment Company Act”). The Company is not, and will not, either after receipt of payment for the Offered Shares or after and the application of the proceeds therefrom thereof as described contemplated under the heading “Use of Proceeds” in each Applicable Prospectus, the preliminary prospectus and the Prospectus will not be, an “investment company” within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, 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, either immediately after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, 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, during the Prospectus Delivery Period, 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 will not, either based upon the accuracy of Purchaser's representations immediately after receipt of payment for the Offered Notes, the Shares or after and the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, 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, during the Prospectus Delivery Period, 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 will not, either after receipt of payment for the Offered Shares or after and the application of the proceeds therefrom thereof as described contemplated under “the caption "Use of Proceeds” " in each Applicable Prospectus, the preliminary prospectus and the Prospectus will not be, an “"investment company” " within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, 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, either after receipt of payment for the Offered Shares or after Securities and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectus, be, 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, 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 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, either after receipt of payment for the Offered Shares or after and the application of the proceeds therefrom thereof as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectus, of the Statutory Prospectus and the Prospectus will not be, an “investment company” within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, 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 (Minrad International, Inc.)
Company Not an “Investment Company. The Company has been advised is not, and after receipt of payment for the Shares and the application of the rules proceeds thereof as contemplated under the caption “Use of Proceeds” in the preliminary prospectus and requirements under the Prospectus 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 will not, either after receipt of payment for the Offered Shares 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, 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 1 contract
Sources: Underwriting Agreement (Monotype Imaging 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 notnot be, either after receipt giving effect to the offering and sale of payment for the Offered Shares or and 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 willof 1940, during as amended (the Prospectus Delivery Period, 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, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, will not be, an “"investment company” " within the meaning of the Investment Company Act Act, and will, during the Prospectus Delivery Period, 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, either after receipt of payment for the Offered Shares Stock or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, be, required to register as an “investment company” within under the meaning of Investment Company Act of 1940, as amended (the “Investment Company Act”), and 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 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, either after receipt of payment for the Offered Shares or after to be sold by the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, Company will not be, an “"investment company” " within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, 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 notnot be, either after receipt of payment for the Offered Shares Company ADSs 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, during the Prospectus Delivery Period, 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 amended, and the rules and regulations promulgated thereunder (the “Investment Company Act”). The Company is not, and will not, either after receipt giving pro forma effect to the offering and sale of payment for the Offered Shares or after Notes and the application of the proceeds therefrom thereof by the Company as described contemplated under the caption “Use of Proceeds” in each Applicable Prospectus, 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, during the Prospectus Delivery Period, conduct its business in a manner so that it will not become subject to 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, not and will notnot be, either after receipt of payment for the Offered Shares 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 of 1940, as amended (the “Investment Company Act”) and will, during the Prospectus Delivery Period, 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 amended, and the rules and regulations promulgated thereunder (the “Investment Company Act”). The Company is not, and will not, either after receipt application of payment for the net proceeds from the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, the Prospectus will not be, an “investment company,” or an entity “controlled” by an “investment company,” within the meaning of Investment Company Act and 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 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 Company is not, and will not, either after receipt of payment for the Offered Shares or after Securities and the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectusthe Offering Memorandum, will not be, required to be registered as an “investment company” within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, 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 will not, either after receipt of payment for the Offered Shares Stock and Warrants or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, be, required to register as an “investment company” within or an entity “controlled” by an “investment company” under the meaning of Investment Company Act of 1940, as amended (the “Investment Company Act”), and 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 1 contract
Company Not an “Investment Company. The Company has been advised 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 will notis not required to be, either registered under the Investment Company Act, and after receipt of payment for the Offered Purchased Shares or after and 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 will not be required to be so registered. The Company Act and will, during the Prospectus Delivery Period, will conduct its business in a manner so that it will not become subject to the Investment Company ActAct while any Purchased Shares remain outstanding.
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 Company is not, and will not, either after receipt of payment for the Offered Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable Prospectus, be, not an “investment company” within the meaning of Investment Company Act and will, during the Prospectus Delivery Period, 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
Sources: 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”). The Company is not, and will not, either after receipt of payment for the Offered Common Shares or after the and application of such proceeds in the proceeds therefrom as manner described in the Prospectus under “Use of Proceeds” in each Applicable Prospectus, will not be, an “investment company” within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, 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 amended, and the rules and regulations promulgated thereunder (the “Investment Company Act”). The Company is not, and will not, either after receipt of payment for the Offered Shares or after Notes and the application of the proceeds therefrom thereof as described contemplated under the caption [“Use of Proceeds” ”] in each Applicable Prospectus, 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, 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 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 notnot be, either after receipt of payment for the Offered Placement Shares or after the application of the proceeds therefrom as described under “Use of Proceeds” in each Applicable the Prospectus, be, an “investment company” within the meaning of the Investment Company Act and will, during the Prospectus Delivery Period, 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 notnot be, either after receipt of payment for the Offered Shares 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 the Investment Company Act of 1940, as amended (the “Investment Company Act”) and will, during the Prospectus Delivery Period, will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract