Common use of Holding Company and Investment Company Acts Clause in Contracts

Holding Company and Investment Company Acts. None of the Loan Parties is (i) 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, or (ii) an "investment company" or an "affiliated person" or "promoter" of, or "principal underwriter" of or for, an "investment company", as such terms are defined in the Investment Company Act of 1940, as amended.

Appears in 27 contracts

Samples: Financing Agreement (Elgar Holdings Inc), Financing Agreement (Xanodyne Pharmaceuticals Inc), Financing Agreement (Coram Healthcare Corp)

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Holding Company and Investment Company Acts. None of the Loan Parties is (i) 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, or (ii) an "investment company" or an "affiliated person" or "promoter" of, or "principal underwriter" of or for, an "investment company", as such terms are defined in the Investment Company Act of 1940, as amended.

Appears in 19 contracts

Samples: Financing Agreement (Xcel Pharmaceuticals Inc), Financing Agreement (Oglebay Norton Co /Ohio/), Financing Agreement (Life Sciences Research Inc)

Holding Company and Investment Company Acts. None of the Loan Parties is (i) 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, ; or (ii) an "investment company" or an "affiliated person" or "promoter" of, or "principal underwriter" of or for, an "investment company", as such terms are defined in the Investment Company Act of 1940, as amended.

Appears in 4 contracts

Samples: Senior Convertible Loan Agreement (Value City Department Stores Inc /Oh), Senior Loan Agreement (Retail Ventures Inc), Senior Loan Agreement (DSW Inc.)

Holding Company and Investment Company Acts. None of the Loan Parties is (i) a "holding company" or a "subsidiary company" of a "holding company" or an "affiliate" of a "holding company", as such terms are defined in subject to regulation under the Public Utility Holding Company Act of 19352005, as amendedthe Federal Power Act, the Interstate Commerce Act or any state public utilities code, or (ii) an "investment company" or an "affiliated person" or "promoter" of, or "principal underwriter" of or for, an "investment company", as such terms are defined in the Investment Company Act of 1940, as amended.

Appears in 3 contracts

Samples: Financing Agreement (Body Central Acquisition Corp), Financing Agreement (Body Central Acquisition Corp), Financing Agreement (Body Central Acquisition Corp)

Holding Company and Investment Company Acts. None of the Loan Parties is (i) 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, or (ii) an "investment company" or an "affiliated person" or "promoter" of, or "principal underwriter" of or for, an "investment company", as such terms are defined in the Investment Company Act of 1940, as amended.

Appears in 3 contracts

Samples: Financing Agreement (Milacron Inc), Financing Agreement (Milacron Inc), Financing Agreement (Milacron Inc)

Holding Company and Investment Company Acts. None of the Loan Parties is (i) 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, or (ii) an "investment company" or an "affiliated personcontrolled by" or "promoter" of, or "principal underwriter" of or for, an "investment company", as such terms are defined in the Investment Company Act of 1940, as amended.

Appears in 2 contracts

Samples: Financing Agreement (Allied Holdings Inc), Financing Agreement (Allied Holdings Inc)

Holding Company and Investment Company Acts. None of Neither the Company nor any other Loan Parties Party is (i) 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, or (ii) an "investment company" or an "affiliated person" or "promoter" of, or "principal underwriter" of or for, an "investment company", as such terms are defined in the Investment Company Act of 1940, as amended.

Appears in 1 contract

Samples: Financing Agreement (Aris Industries Inc)

Holding Company and Investment Company Acts. None of the Loan Parties nor any of their respective Subsidiaries is (i) 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, or (ii) an "investment company" or an "affiliated person" or "promoter" of, or "principal underwriter" of or for, an "investment company", as such terms are defined in the Investment Company Act of 1940, as amended.

Appears in 1 contract

Samples: Financing Agreement (Tri State Outdoor Media Group Inc)

Holding Company and Investment Company Acts. None of the Loan Parties is (ia) 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 19352005, as amended, or (iib) an "investment company" or an "affiliated person" or "promoter" of, or "principal underwriter" of or for, an "investment company", as such terms are defined in the Investment Company Act of 1940, as amended.

Appears in 1 contract

Samples: Credit Agreement (Plato Learning Inc)

Holding Company and Investment Company Acts. None of the Loan Parties is (i) 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, or (ii) an "investment company" or an "affiliated person" or "promoter" of, or "principal underwriter" of or for, an "investment company", as such terms are defined in the Investment Company Act of 1940, as amended.

Appears in 1 contract

Samples: Financing Agreement (Movie Star Inc /Ny/)

Holding Company and Investment Company Acts. None of Neither the Company nor any other Loan Parties Party is (i) a i)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, or (ii) an "investment company" or an "affiliated person" or "promoter" of, or "principal underwriter" of or for, an "investment company", as such terms are defined in the Investment Company Act of 1940, as amended.

Appears in 1 contract

Samples: Financing Agreement (Norton McNaughton Inc)

Holding Company and Investment Company Acts. None of Neither the Parent nor any other Loan Parties Party is (i) 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, or (ii) an "investment company" or an "affiliated person" or "promoter" of, or "principal underwriter" of or for, an "investment company", as such terms are defined in the Investment Company Act of 1940, as amended.

Appears in 1 contract

Samples: Financing Agreement (Chic by H I S Inc)

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Holding Company and Investment Company Acts. None of the Loan Parties is (i) 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, or (ii) an "investment company" or an "affiliated person" or "promoter" of, or "principal underwriter" of or for, an "investment company", as such terms are term is defined in the Investment Company Act of 1940, as amended.

Appears in 1 contract

Samples: Financing Agreement (Modtech Holdings Inc)

Holding Company and Investment Company Acts. None of the Domestic Loan Parties is (i) 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, or (ii) an "investment company" or an "affiliated person" or "promoter" of, or "principal underwriter" of or for, an "investment company", as such terms are defined in the Investment Company Act of 1940, as amended.

Appears in 1 contract

Samples: Financing Agreement (Metallurg Inc)

Holding Company and Investment Company Acts. None of the Loan ------------------------------------------- Parties is (i) 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, or (ii) an "investment company" or an "affiliated person" or "promoter" of, or "principal underwriter" of or for, an "investment company", as such terms are defined in the Investment Company Act of 1940, as amended.

Appears in 1 contract

Samples: Financing Agreement (Lernout & Hauspie Speech Products Nv)

Holding Company and Investment Company Acts. None of Neither the Company ------------------------------------------- nor any other Loan Parties Party is (i) a i)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, or (ii) an "investment company" or an "affiliated person" or "promoter" of, or "principal underwriter" of or for, an "investment company", as such terms are defined in the Investment Company Act of 1940, as amended.

Appears in 1 contract

Samples: Financing Agreement (Norton McNaughton Inc)

Holding Company and Investment Company Acts. None of Neither the Company ------------------------------------------- nor any other Loan Parties Party is (i) a i)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, or (ii) an "investment company" or an "affiliated person" or "promoter" of, or "principal underwriter" of or for, an "investment company", ," as such terms are defined in the Investment Company Act of 1940, as amended.

Appears in 1 contract

Samples: Financing Agreement (McNaughton Apparel Group Inc)

Holding Company and Investment Company Acts. None of the Loan Parties is (ia) 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, or (iib) an "investment company" or an "affiliated person" or "promoter" of, or "principal underwriter" of or for, an "investment company", as such terms are defined in the Investment Company Act of 1940, as amended.

Appears in 1 contract

Samples: Loan and Security Agreement (Lazy Days R.V. Center, Inc.)

Holding Company and Investment Company Acts. None of the Loan Parties is (i) 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, or (ii) an "investment company" or an "affiliated person" or "promoter" of, or "principal underwriter" of or for, an "investment company", as such terms are defined in the Investment Company Act of 1940, as amended.

Appears in 1 contract

Samples: Credit Agreement (MSX International Inc)

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