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

Holding Company and Investment Company Acts. None of the Obligors 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 9 contracts

Samples: Securities Purchase Agreement (FriendFinder Networks Inc.), Securities Purchase Agreement (FriendFinder Networks Inc.), Securities Purchase Agreement (FriendFinder Networks Inc.)

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Holding Company and Investment Company Acts. None of the Obligors Borrowers, the General Partner, the Guarantors or 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; nor is any of such Persons an "investment company", or (ii) an "affiliated company" or a "principal underwriter" of 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: Revolving Credit Agreement (Walden Residential Properties Inc), Revolving Credit Agreement (Walden Residential Properties Inc), Term Loan Agreement (Walden Residential Properties Inc)

Holding Company and Investment Company Acts. None of the Obligors 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 ; nor is any of them a registered investment company”, or an “affiliated personcompany” or “promoter” of, or a “principal underwriter” of or for, an a registered investment company”, as such terms are defined in the Investment Company Act of 1940, as amended.

Appears in 2 contracts

Samples: Restricted Stock Unit Award Agreement, Assignment Agreement (Waste Management Inc)

Holding Company and Investment Company Acts. None of the Obligors Company or any of its 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, 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 2 contracts

Samples: Exchange Agreement (Coram Healthcare Corp), Exchange Agreement (Coram Healthcare Corp)

Holding Company and Investment Company Acts. None of the Obligors Companies is 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 2 contracts

Samples: Loan and Security Agreement (Harvard Industries Inc), Financing Agreement (Harvard Industries Inc)

Holding Company and Investment Company Acts. None of the Obligors 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 57 “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: Sellers’ Securities Agreement (FriendFinder Networks Inc.), Sellers’ Securities Agreement (FriendFinder Networks Inc.)

Holding Company and Investment Company Acts. None of the Obligors 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.. 103

Appears in 1 contract

Samples: Interactive (FriendFinder Networks Inc.)

Holding Company and Investment Company Acts. None of the Apparel Obligors is (i) are 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 are any of them an "investment company", or (ii) an "affiliated company" or a "principal underwriter" of 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 (Baker J Inc)

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Holding Company and Investment Company Acts. None of the Obligors Companies 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: Revolving Credit Agreement (Alon USA Energy, Inc.)

Holding Company and Investment Company Acts. None of the Obligors 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; nor is it an "investment company", or (ii) an “investment "affiliated company" or an “affiliated person” or “promoter” of, or “a "principal underwriter" of or for, an “investment an"investment company", as such terms are defined in the Investment Company Act of 1940, as amended.

Appears in 1 contract

Samples: Master Agreement (Dollar Tree Stores Inc)

Holding Company and Investment Company Acts. None of the Obligors 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; nor is it an "investment company", or (ii) an "affiliated company" or a "principal underwriter" of 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. Section 6.13.

Appears in 1 contract

Samples: Revolving Credit Agreement (Dollar Tree Stores Inc)

Holding Company and Investment Company Acts. None of the Obligors Companies 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: Revolving Credit Agreement (Alon USA Energy, Inc.)

Holding Company and Investment Company Acts. None of the Obligors nor any of their 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; nor is it an "investment company", or (ii) an "affiliated company" or a "principal underwriter" of 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: Revolving Credit and Term Loan Agreement (Morgan Group Inc)

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