Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 463 contracts
Samples: Common Stock Sales Agreement (Edgewise Therapeutics, Inc.), Common Stock Sales Agreement (Edgewise Therapeutics, Inc.), Equity Distribution Agreement (Arbor Realty Trust Inc)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries Subsidiaries will be or become, at any time prior to the termination of this Agreement, required to register as an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 313 contracts
Samples: Sales Agreement (Sagimet Biosciences Inc.), Sales Agreement (Perspective Therapeutics, Inc.), Common Stock (Oragenics Inc)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries the Subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 268 contracts
Samples: Common Stock (iBio, Inc.), Sales Agreement (CorMedix Inc.), Financing Agreement (Luminar Technologies, Inc./De)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries Subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 162 contracts
Samples: Sales Agreement (Zura Bio LTD), Sales Agreement (AEON Biopharma, Inc.), Sales Agreement (Oculis Holding AG)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries the Subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 95 contracts
Samples: Equity Distribution Agreement (Essex Portfolio Lp), Equity Distribution Agreement (Oncolytics Biotech Inc), Equity Distribution Agreement (Quipt Home Medical Corp.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will not be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 83 contracts
Samples: Equity Distribution Agreement (Leafly Holdings, Inc. /DE), Equity Distribution Agreement (Phunware, Inc.), Equity Distribution Agreement (Motorsport Games Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries Subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 38 contracts
Samples: Sales Agreement (scPharmaceuticals Inc.), Sales Agreement (Standard Lithium Ltd.), Common Stock (Atara Biotherapeutics, Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or not become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 35 contracts
Samples: Sales Agreement (PLBY Group, Inc.), Sales Agreement (Sonim Technologies Inc), Sales Agreement (Hyzon Motors Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries will be or become, at any time prior to the termination of this Agreement, required to register as an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 35 contracts
Samples: Sales Agreement (Crinetics Pharmaceuticals, Inc.), Sales Agreement (Nano-X Imaging Ltd.), Sales Agreement (RAPT Therapeutics, Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 30 contracts
Samples: Sales Agreement (InflaRx N.V.), Sales Agreement (Keros Therapeutics, Inc.), Sales Agreement (Schrodinger, Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will not be or become, at any time prior to the termination of this Agreement, required to register as an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 26 contracts
Samples: Common Stock (Alzamend Neuro, Inc.), Sales Agreement (Biovie Inc.), Array Biopharma (Array Biopharma Inc)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or become, at any time prior to the termination of this AgreementAgreement and the settlement of all Forward Contracts, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 26 contracts
Samples: Equity Distribution Agreement (Rexford Industrial Realty, Inc.), Equity Distribution Agreement (Rexford Industrial Realty, Inc.), Equity Distribution Agreement (Rexford Industrial Realty, Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will not be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 26 contracts
Samples: Sales Agreement (Shattuck Labs, Inc.), Sales Agreement (Provention Bio, Inc.), Sales Agreement (Provention Bio, Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or become, at any time prior to the termination of this Agreement, it will not be or become required to register as an “investment company,” as such term is defined in under the Investment Company Act, assuming no change in Act and the Commission’s current interpretation as to entities that are not considered an investment companyrules and regulations of the Commission promulgated thereunder.
Appears in 22 contracts
Samples: Equity Distribution Agreement (First Majestic Silver Corp), Equity Distribution Agreement (NexGen Energy Ltd.), Equity Distribution Agreement (Profound Medical Corp.)
Investment Company Act. The Company will shall conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries Subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 19 contracts
Samples: Sales Agreement (Inmune Bio, Inc.), Equity Distribution Agreement (Innovative Industrial Properties Inc), Agreement and Any Terms Agreement (Chicago Atlantic Real Estate Finance, Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries Subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 18 contracts
Samples: Sales Agreement (Liquid Media Group Ltd.), Sales Agreement (Chinook Therapeutics, Inc.), Sales Agreement (Medicenna Therapeutics Corp.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or becomerequired to register as, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 17 contracts
Samples: Equity Distribution Agreement (Invesco Mortgage Capital Inc.), Management Agreement (Invesco Mortgage Capital Inc.), Equity Distribution Agreement (Invesco Mortgage Capital Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries the Subsidiary will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 14 contracts
Samples: Sales Agreement (Trevi Therapeutics, Inc.), Sales Agreement (RedHill Biopharma Ltd.), Sales Agreement (Trevi Therapeutics, Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 14 contracts
Samples: Strawberry Fields (Strawberry Fields REIT, Inc.), OptimumBank Holdings, Inc., Bluerock Residential Growth REIT, Inc.
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its the subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 12 contracts
Samples: Helios And (Helios & Matheson Analytics Inc.), Sales Agreement (Invivo Therapeutics Holdings Corp.), Sales Agreement (Maxwell Technologies Inc)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries will be or become, at any time prior to the termination of this Agreement, required to register as an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 12 contracts
Samples: Equity Distribution Agreement (Federal Realty Investment Trust), Equity Distribution Agreement (Federal Realty Investment Trust), Equity Distribution Agreement (Federal Realty Investment Trust)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries any of the Material Subsidiaries will be or become, at any time prior to the termination of this Agreement, required to register as an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 10 contracts
Samples: Sales Agreement (Avino Silver & Gold Mines LTD), Sales Agreement (Avino Silver & Gold Mines LTD), Sales Agreement (Energy Fuels Inc)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will not be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company 1940 Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 10 contracts
Samples: Equity Distribution Agreement (Cocrystal Pharma, Inc.), Ladenburg Thalmann Financial Services (Ladenburg Thalmann Financial Services Inc.), Ladenburg Thalmann Financial Services (Ladenburg Thalmann Financial Services Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries the Company will not be or become, at any time prior to the termination of this Agreement, required to register as an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 9 contracts
Samples: Equity Distribution Agreement (Healthcare Realty Trust Inc), Equity Distribution Agreement (Healthcare Realty Trust Inc), Equity Distribution Agreement (Healthcare Realty Trust Inc)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” ”, as such term is defined in the Investment Company ActAct of 1940, as amended, assuming no change in the Commission’s current interpretation as to entities that are not considered to be an investment company.
Appears in 9 contracts
Samples: Equity Distribution Agreement (CMS Energy Corp), Equity Distribution Agreement (CMS Energy Corp), Equity Distribution Agreement (CMS Energy Corp)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in under the Investment Company ActAct of 1940, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment companyamended.
Appears in 9 contracts
Samples: Equity Distribution Agreement (Blackstone Mortgage Trust, Inc.), Equity Distribution Agreement (Blackstone Mortgage Trust, Inc.), Equity Distribution Agreement (Blackstone Mortgage Trust, Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its the subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 8 contracts
Samples: Kingstone Companies, Inc., Sachem Capital Corp., Sachem Capital Corp.
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation interpretations as to entities that are not considered an investment company.
Appears in 8 contracts
Samples: Sales Agreement (Albireo Pharma, Inc.), Sales Agreement (Albireo Pharma, Inc.), Sales Agreement (Albireo Pharma, Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries Subsidiaries will be or become, at any time prior to the termination of this Agreement, required to register as an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 7 contracts
Samples: Equity Distribution Agreement (Colonial Realty Limited Partnership), Equity Distribution Agreement (Colonial Realty Limited Partnership), Equity Distribution Agreement (Colonial Realty Limited Partnership)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries Subsidiaries will be or become, at any time prior to the termination of this Agreement, required to be registered as an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 7 contracts
Samples: Common Stock (Ault Alliance, Inc.), Sales Agreement (SciSparc Ltd.), Common Stock (Ault Global Holdings, Inc.)
Investment Company Act. The During the term of this Agreement, the Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 6 contracts
Samples: Common Stock (Otonomy, Inc.), Sales Agreement (Adamas Pharmaceuticals Inc), Sales Agreement (Dermira, Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 6 contracts
Samples: Sales Agreement (Dynavax Technologies Corp), Sales Agreement (Dynavax Technologies Corp), CAI International, Inc.
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries the Subsidiary will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 6 contracts
Samples: Common Stock (Unum Therapeutics Inc.), Sales Agreement (EnteroMedics Inc), Equity Distribution Agreement (EnteroMedics Inc)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will not be or become, at any time prior to the termination of this Agreement, required to register as an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 6 contracts
Samples: Sales Agreement (Forty Seven, Inc.), Sales Agreement (Forty Seven, Inc.), Sales Agreement (Ardelyx, Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries Subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an “investment company”.
Appears in 6 contracts
Samples: Equity Distribution Agreement (Genprex, Inc.), Equity Distribution Agreement (PLx Pharma Inc.), Equity Distribution Agreement (PLx Pharma Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries Subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company ActAct of 1940, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment companyamended.
Appears in 5 contracts
Samples: Market Offering Agreement (Youngevity International, Inc.), Market Offering Agreement (India Globalization Capital, Inc.), At the Market Offering Agreement (India Globalization Capital, Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries Subsidiary will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 5 contracts
Samples: Sales Agreement (Compugen LTD), Sales Agreement (Pyxis Oncology, Inc.), Sales Agreement (Molecular Partners Ag)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries the Subsidiaries will be or become, at any time prior to the termination of this Agreement, required to register as an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 5 contracts
Samples: Common Stock (NuZee, Inc.), Holding Company (City Holding Co), CNB Financial Corp/Pa
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries any Subsidiary will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 5 contracts
Samples: Sales Agreement (22nd Century Group, Inc.), NeuroSense Therapeutics Ltd., Sales Agreement (Avanir Pharmaceuticals, Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will not be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 5 contracts
Samples: Sales Agreement (Trevena Inc), ARCA Biopharma, Inc., Sales Agreement (Trevena Inc)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries Subsidiaries will be or becomebecome required to register, at any time prior to the termination of this Agreement, as an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered required to register as an investment company.
Appears in 5 contracts
Samples: Sales Agreement (Franklin Street Properties Corp /Ma/), Underwriting Agreement (Investors Real Estate Trust), Sales Agreement (Investors Real Estate Trust)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or becomeSubsidiaries will, at any time prior to the termination of this Agreement, be required to register as an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 5 contracts
Samples: Equity Sales Agreement (Lexington Realty Trust), Equity Distribution Agreement (Lexington Realty Trust), Equity Distribution Agreement (Lexington Realty Trust)
Investment Company Act. The During the term of this Agreement, the Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor or any of its subsidiaries Subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 4 contracts
Samples: Sales Agreement (Scynexis Inc), Sales Agreement (Scynexis Inc), Scynexis Inc
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will not be or become, at any time prior to the termination of this Agreement, required to be registered as an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 4 contracts
Samples: Sales Agreement (INSMED Inc), Sales Agreement (fuboTV Inc. /FL), Sales Agreement (fuboTV Inc. /FL)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries Subsidiaries will be or become, at any time prior to the termination of this Agreement, an “"investment company,” " as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 4 contracts
Samples: Microvision, Inc., Sales Agreement (Aeterna Zentaris Inc.), Uqm Technologies Inc
Investment Company Act. The During the term of this Agreement, the Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 4 contracts
Samples: Sales Agreement (Scynexis Inc), Sales Agreement (Scynexis Inc), Sales Agreement (Scynexis Inc)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries Subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in under the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 4 contracts
Samples: Houston American Energy Corp, Soluna Holdings, Inc, Houston American Energy Corp
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or become, at any time prior to the termination of this Agreement, required to register as an “investment company,” ”, as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 4 contracts
Samples: Sales Agreement (Electrameccanica Vehicles Corp.), Sales Agreement (Electrameccanica Vehicles Corp.), Sales Agreement (Electrameccanica Vehicles Corp.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or becomebe, at any time prior to the termination of this Agreement, required to register as an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 4 contracts
Samples: Stock Sales Agreement (Macrogenics Inc), Sales Agreement (Macrogenics Inc), Common Stock (Macrogenics Inc)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries the Subsidiaries will be or become, at any time prior to the termination of this Agreement, an “"investment company,” " as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 4 contracts
Samples: Babcock & Wilcox Enterprises, Inc., Cadiz Inc, Customers Bancorp, Inc.
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries subsidiary will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 3 contracts
Samples: Sales Agreement (Mersana Therapeutics, Inc.), Sales Agreement (Krystal Biotech, Inc.), Sales Agreement (Krystal Biotech, Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or become, at any time prior to during the termination pendency of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 3 contracts
Samples: Sales Agreement (Marathon Patent Group, Inc.), Common Stock Sales Agreement (Us Energy Corp), Sales Agreement (Aethlon Medical Inc)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its the Company’s subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company ActAct of 1940, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment companyamended.
Appears in 3 contracts
Samples: Cherry Hill Mortgage Investment Corp, Cherry Hill Mortgage Investment Corp, Cherry Hill Mortgage Investment Corp
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it of the Company nor its subsidiaries any of the Subsidiaries will be or become, at any time prior to the termination of this Agreement, required to register as an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 3 contracts
Samples: Equity Distribution Agreement (BofI Holding, Inc.), Equity Distribution Agreement (BofI Holding, Inc.), Equity Distribution Agreement (BofI Holding, Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the CommissionSEC’s current interpretation as to entities that are not considered an investment company.
Appears in 3 contracts
Samples: Sales Agreement (Anworth Mortgage Asset Corp), Sales Agreement (Anworth Mortgage Asset Corp), Sales Agreement (Anworth Mortgage Asset Corp)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries Subsidiaries will be or become, at any time prior to the termination of this Agreement, required to register as an “"investment company,” " as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 3 contracts
Samples: Snow Lake Resources Ltd., Sales Agreement (Chembio Diagnostics, Inc.), Portage Biotech Inc.
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or become, at any time prior to the termination of this Agreement, required to register as an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 3 contracts
Samples: Sales Agreement (GeneDx Holdings Corp.), Equity Distribution Agreement (Astronics Corp), Equity Distribution Agreement (Laredo Petroleum, Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company 1940 Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 3 contracts
Samples: Sales Agreement (Immunovant, Inc.), Sales Agreement (Allovir, Inc.), Sales Agreement (Immunovant, Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company 1940 Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 3 contracts
Samples: Common Stock (Homology Medicines, Inc.), Common Stock (Homology Medicines, Inc.), Common Stock (Homology Medicines, Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries any Subsidiary will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 3 contracts
Samples: Sales Agreement (Madrigal Pharmaceuticals, Inc.), Sales Agreement (Madrigal Pharmaceuticals, Inc.), Sales Agreement (Madrigal Pharmaceuticals, Inc.)
Investment Company Act. The Company will use its commercially reasonable efforts to conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries the Operating Partnership will be or becomerquired, at any time prior to the termination of this Agreement, to register as an “investment company,” as such term is defined in under the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered required to register as an investment company.
Appears in 3 contracts
Samples: Sales Agreement (First Potomac Realty Trust), Sales Agreement (First Potomac Realty Trust), Sales Agreement (First Potomac Realty Trust)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it the Company nor its subsidiaries any of the Subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 3 contracts
Samples: Equity Distribution Agreement (Apple Hospitality REIT, Inc.), Equity Distribution Agreement (Apple Hospitality REIT, Inc.), Equity Distribution Agreement (Apple Hospitality REIT, Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries subsidiaries, including the Significant Subsidiary, will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 3 contracts
Samples: Sales Agreement (ReShape Lifesciences Inc.), Sales Agreement (IsoRay, Inc.), Alimera Sciences Inc
Investment Company Act. The Company will shall conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 3 contracts
Samples: Equity Distribution Agreement (NewLake Capital Partners, Inc.), Management Agreement (Claros Mortgage Trust, Inc.), Agreement and Any Terms Agreement (SFL Corp Ltd.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it the Company nor its subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 3 contracts
Samples: Equity Distribution Agreement (Park Ohio Holdings Corp), Equity Distribution Agreement (Olympic Steel Inc), Distribution Agreement (DMC Global Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries Subsidiaries will be or become, at any time prior to the termination of this Agreement, an “"investment company,” " as such term is defined in the Investment Company ActAct of 1940, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment companyamended.
Appears in 2 contracts
Samples: The Market Offering Agreement (India Globalization Capital, Inc.), www.sec.gov
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries any Subsidiary will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 2 contracts
Samples: Monopar Therapeutics, Monopar Therapeutics
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries the Subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.. q. No
Appears in 2 contracts
Samples: Babcock & Wilcox Enterprises, Inc., Physicians Realty L.P.
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will not be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment companycompanies.
Appears in 2 contracts
Samples: Surface Oncology, Inc., Surface Oncology, Inc.
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or become, at any time prior to the termination of this Agreement, required to register as an “investment company,” as such term is defined in under the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Digimarc CORP), Equity Distribution Agreement (Digimarc CORP)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will not be or become, at any time prior to the termination of this Agreement, required to register as an “"investment company,” " as such term is defined in the Investment Company ActAct of 1940, as amended, assuming no change in the Commission’s 's current interpretation as to entities that are not considered an investment company.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Vizsla Silver Corp.), Equity Distribution Agreement (HIVE Digital Technologies Ltd.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or becomerequired to register, at any time prior to the termination of this Agreement, as an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Synalloy Corp), Equity Distribution Agreement (Synalloy Corp)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries any of the Subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 2 contracts
Samples: Soligenix, Inc., Soligenix, Inc.
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries Subsidiaries or Partnerships will be or become, at any time prior to the termination of this Agreement, an “"investment company,” " as such term is defined in the Investment Company Act, assuming no change in the Commission’s 's current interpretation as to entities that are not considered an investment company.
Appears in 2 contracts
Samples: Equity Distribution Agreement (High Tide Inc.), Equity Distribution Agreement (High Tide Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries Subsidiaries will be or become, at any time prior to the termination of this Agreement, required to register as an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s 's current interpretation as to entities that are not considered an investment company.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Colonial Realty Limited Partnership), Equity Distribution Agreement (Colonial Realty Limited Partnership)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries Subsidiaries will be or become, at any time prior to the termination of this Agreement, required to register as an “investment companyInvestment Company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 2 contracts
Samples: CymaBay Therapeutics, Inc., CymaBay Therapeutics, Inc.
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will not be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in Act and as such term is interpreted by the Commission’s current interpretation Commission as to entities that are not considered an investment companyof the date of this Agreement.
Appears in 2 contracts
Samples: Sales Agreement (Arlington Asset Investment Corp.), Sales Agreement (Arlington Asset Investment Corp.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or not become, at any time prior to the termination of this Agreement, an “"investment company,” " as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 2 contracts
Samples: Sales Agreement (GREENPOWER MOTOR Co INC.), Sales Agreement (ALKALINE WATER Co INC)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries any of the Material Subsidiaries will be or become, at any time prior to the termination of this Agreement, required to register as an “"investment company,” " as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 2 contracts
Samples: Sales Agreement (Energy Fuels Inc), Sales Agreement (Energy Fuels Inc)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries Consolidated Subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 2 contracts
Samples: Purchase Agreement (Hersha Hospitality Trust), Sales Agreement (Hersha Hospitality Trust)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or become, at any time prior to the termination of this Agreement, an “"investment company,” " as such term is defined in the Investment Company Act, assuming no change in the Commission’s 's current interpretation as to entities that are not considered an investment company.
Appears in 2 contracts
Samples: Common Stock (Innovate Biopharmaceuticals, Inc.), Trillium Therapeutics Inc.
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries the Subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 2 contracts
Samples: Standard Diversified Inc., Aeglea BioTherapeutics, Inc.
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries subsidiaries, if any, will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 2 contracts
Samples: Sales Agreement (Tenaya Therapeutics, Inc.), Sales Agreement (Tenaya Therapeutics, Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries Subsidiary will be or become, at any time prior to the termination of this Agreement, required to register as an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 2 contracts
Samples: Sales Agreement (Verastem, Inc.), Sales Agreement (Verastem, Inc.)
Investment Company Act. The During the term of this Agreement, the Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries the Subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 2 contracts
Samples: Sales Agreement (VirnetX Holding Corp), VirnetX Holding Corp
Investment Company Act. The During the term of this Agreement, the Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 2 contracts
Samples: Sales Agreement (Otonomy, Inc.), Sales Agreement (Otonomy, Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 2 contracts
Samples: Sales Agreement (CAPSTONE TURBINE Corp), Sales Agreement (Transition Therapeutics Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or is not and does not become, at any time prior to the termination of this Agreement, required to register as an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 2 contracts
Samples: Sales Agreement (Cipher Mining Inc.), Cipher Mining Inc.
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will not be or become, at any time prior to the termination of this Agreement, required to register as an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 2 contracts
Samples: Reunion Neuroscience (Reunion Neuroscience Inc.), Equity Distribution Agreement (Cardiol Therapeutics Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries Subsidiaries will be or become, at any time prior to the termination of this Agreement, required to register as an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.. (q)
Appears in 2 contracts
Samples: Loan Agreement (Volta Inc.), BigBear.ai Holdings, Inc.
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 2 contracts
Samples: Common Stock (Turning Point Brands, Inc.), Sales Agreement (Turning Point Brands, Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries will be or become, at any time prior to the termination of this AgreementAgreement or any Forward Contract, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 2 contracts
Samples: Sales Agreement (American Homes 4 Rent), American Homes 4 Rent
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s 's current interpretation as to entities that are not considered an investment company.
Appears in 1 contract
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries Subsidiary will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 1 contract
Samples: Sales Agreement (Epizyme, Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries none of the Company, the Operating Partnership or any of the Subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 1 contract
Samples: Equity Distribution Agreement (Urban Edge Properties LP)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries Subsidiaries will be or becomerequired to register, at any time prior to the termination of this Agreement, as an “investment company,” as such term is defined in under the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 1 contract
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.. (u)
Appears in 1 contract
Samples: Anaptysbio, Inc
Investment Company Act. The Company will shall conduct its affairs in such a manner so as to reasonably ensure that neither it nor any of its subsidiaries Subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company..
Appears in 1 contract
Samples: Market Offering Agreement (ProMIS Neurosciences Inc.)
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries the Subsidiaries will be or become, at any time prior to the termination of this Agreement, an “investment company,” as such term is defined in the Investment Company Act, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company..
Appears in 1 contract
Investment Company Act. The Company will conduct its affairs in such a manner so as to reasonably ensure that neither it nor its subsidiaries will not be or become, at any time prior to the termination of this Agreement, required to register as an “investment company,” as such term is defined in the Investment Company ActAct of 1940, as amended, assuming no change in the Commission’s current interpretation as to entities that are not considered an investment company.
Appears in 1 contract
