Governmental Regulations. The Company is not a "holding company", or a "subsidiary company" of a "holding company" or an "affiliate" of a "holding company", as such terms are defined in the Public Utility Holding Company Act of 1935; nor is the Company a "registered investment company", or an "affiliated person" or a "principal underwriter" of a "registered investment company", as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Convertible Preferred Stock (Urban Ag. Corp.), Securities Purchase Agreement (Buffalo Wild Wings Inc), Securities Purchase Agreement (Eloquent Inc)
Governmental Regulations. The Company is not a "holding company", or a "subsidiary company" of a "holding company" ", or an "affiliate" of a "holding company", as such terms are defined in the Public Utility Holding Company Act of 1935; nor is the Company a "registered investment company", or an "affiliated person" or a "principal underwriter" of a "registered investment company", as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Gabriel Communications Inc /De/), Securities Purchase Agreement (Gabriel Communications Inc /De/), Securities Purchase Agreement (Gabriel Communications Inc /De/)
Governmental Regulations. The Company is not and will not become a "holding company", or a "subsidiary company" of a "holding company" or an "affiliate" of a "holding company", as such terms are defined in the Public Utility Holding Company Act of 1935; nor is the Company it a "registered investment company", or an "affiliated person" or a "principal underwriter" of a "registered investment company", as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Bpi Packaging Technologies Inc), Security Agreement (Bpi Packaging Technologies Inc)
Governmental Regulations. The Company is not a "“holding company"”, or a "“subsidiary company" ” of a "“holding company" ”, or an "“affiliate" ” of a "“holding company"”, as such terms are defined in the Public Utility Holding Company Act of 1935; nor is the Company a "“registered investment company"”, or an "“affiliated person" ” or a "“principal underwriter" ” of a "“registered investment company"”, as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Nuvox Inc /De/), Securities Purchase Agreement (Nuvox Inc /De/)
Governmental Regulations. The Company is not a "holding company", ," or a "subsidiary company" of a "holding company" or an "affiliate" of a "holding company", ," as such terms are defined in the Public Utility Holding Company Act of 1935; nor is the Company , or a "registered investment company", " or an "affiliated person" or a "principal underwriter" of a "registered investment company", ," as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Preferred Stock Purchase Agreement (Planet Zanett Inc)
Governmental Regulations. The Neither Company nor any or its Subsidiaries is not a "holding company", or a "subsidiary company" of a "holding company" ", or an "affiliate" of a "holding company", as such terms are defined in the Public Utility Holding Company Act of 1935; nor is the Company any of them a "registered investment company", or an "affiliated person" or a "principal underwriter" of a "registered investment company", as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Governmental Regulations. The Neither the Company nor any of its Subsidiaries is not a "holding company", or a "subsidiary company" of a "holding company" or an "affiliate" of a "holding company", as such terms are defined in the Public Utility Holding Company Act of 1935; nor is the Company a "registered investment company", or an "affiliated person" or a "principal underwriter" of a "registered investment company", as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Perkins Family Restaurants Lp)
Governmental Regulations. The Company is not a "“holding company"”, or a "“subsidiary company" ” of a "“holding company" ” or an "“affiliate" ” of a "“holding company"”, as such terms are defined in the Public Utility Holding Company Act of 1935; nor is the Company a "“registered investment company"”, or an "“affiliated person" ” or a "“principal underwriter" ” of a "“registered investment company"”, as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Warrant Purchase Agreement (Workflow Management Inc)
Governmental Regulations. The Company is not and will not become a ------------------------ "holding company", or a "subsidiary company" of a "holding company" or an "affiliate" of a "holding company", as such terms are defined in the Public Utility Holding Company Act of 1935; nor is the Company it a "registered investment company", or an "affiliated person" or a "principal underwriter" of a "registered investment company", as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Governmental Regulations. The Neither the Company nor any of its Subsidiaries is not a "holding company", or a "subsidiary company" of a "holding company" or an "affiliate" of a "holding company", as such terms are defined in the Public Utility Holding Company Act of 1935; nor is the Company or any of its Subsidiaries a "registered investment company", or an "affiliated person" or a "principal underwriter" of a "registered investment company", as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Community Distributors Inc)
Governmental Regulations. The Company is not a "holding company", or a "subsidiary company" of a "holding company" or an "affiliate" of a "holding company", as such terms are defined in the Public Utility Holding Company Act of 1935; nor is the Company a "registered investment company", or an "affiliated person" or a "principal underwriter" of a "registered investment company", as such terms are defined in the Investment Company Act of 1940, as amended.a
Appears in 1 contract
Samples: Securities Purchase Agreement (Meade Instruments Corp)
Governmental Regulations. The Company is not a "holding company", or a "subsidiary company" of a "holding company" or an "affiliate" of a "holding company", as such terms are defined in the Public Utility Holding Company Act of 1935, as amended; nor is the Company a an "registered investment company", or an "affiliated person" or a "principal underwriter" of a an "registered investment company", as such terms are defined in the Investment Company Act of 1940, as amended.,
Appears in 1 contract
Samples: Registration Rights Agreement (Public Service Co of Oklahoma)
Governmental Regulations. The Company is not a "holding company", ," or a "subsidiary company" of a "holding company" or an "affiliate" of a "holding company", ," as such terms are defined in the Public Utility Holding Company Act of 1935; nor is the Company a "registered investment company", ," or an "affiliated person" or a "principal underwriter" of a "registered investment company", ," as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase and Loan Agreement (National Investment Managers Inc.)
