Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 413 contracts
Samples: Intra-Cellular Therapies, Inc., Underwriting Agreement (PTC Therapeutics, Inc.), Underwriting Agreement (Coherus BioSciences, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 142 contracts
Samples: Underwriting Agreement (Trinet Group Inc), Underwriting Agreement (MediaMind Technologies Inc.), Underwriting Agreement (Aprea Therapeutics, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Units and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 140 contracts
Samples: Underwriting Agreement (Concord Acquisition Corp), Underwriting Agreement (ScION Tech Growth II), Underwriting Agreement (Frontier Investment Corp)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 36 contracts
Samples: Underwriting Agreement (Granite Point Mortgage Trust Inc.), Underwriting Agreement (SVB Financial Group), Letter Agreement (ImmunoGen, Inc.)
Investment Company Act. The Company is not andnot, after giving effect to and upon the offering issuance and sale of the Shares as herein contemplated and the application of the net proceeds thereof therefrom as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, Prospectus will not be required to register as be, an “investment company” or an entity “controlled” by an “investment company” within the meaning of as such terms are defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder amended (collectively, the “Investment Company Act”).
Appears in 32 contracts
Samples: Underwriting Agreement (Colony Bankcorp Inc), Underwriting Agreement (Third Coast Bancshares, Inc.), Underwriting Agreement (First Western Financial Inc)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”)thereunder.
Appears in 31 contracts
Samples: Underwriting Agreement (Teladoc, Inc.), Underwriting Agreement (Waystar Holding Corp.), Underwriting Agreement (Neophotonics Corp)
Investment Company Act. The Company is not and, immediately after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 30 contracts
Samples: Underwriting Agreement (Verve Therapeutics, Inc.), Underwriting Agreement (Dyne Therapeutics, Inc.), Underwriting Agreement (Generation Bio Co.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 23 contracts
Samples: Underwriting Agreement (RGC Resources Inc), Underwriting Agreement (Mersana Therapeutics, Inc.), Underwriting Agreement (Braeburn Pharmaceuticals, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Public Units and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 21 contracts
Samples: Underwriting Agreement (LAVA Medtech Acquisition Corp.), Underwriting Agreement (Chain Bridge I), Underwriting Agreement (Northern Genesis Acquisition Corp. II)
Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, Prospectus will not be be, required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 14 contracts
Samples: Underwriting Agreement (Apollo Residential Mortgage, Inc.), Underwriting Agreement (Apollo Commercial Real Estate Finance, Inc.), Underwriting Agreement (Apollo Residential Mortgage, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Offered Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing General Disclosure Package and the Final Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of as defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder amended (collectively, the “Investment Company Act”).
Appears in 14 contracts
Samples: Underwriting Agreement (HireRight Holdings Corp), Underwriting Agreement (Organogenesis Holdings Inc.), Underwriting Agreement (Walter Investment Management Corp)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”)thereunder.
Appears in 13 contracts
Samples: Underwriting Agreement (Altice USA, Inc.), Underwriting Agreement (Birkenstock Holding LTD), Underwriting Agreement (Global Ship Lease, Inc.)
Investment Company Act. The Company is not and, solely after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Final Prospectus, will not be required subject to register registration and regulation as an “investment company” or an entity “controlled” by an “investment company” within the meaning of as such term is defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder amended (collectively, the “Investment Company Act”).
Appears in 13 contracts
Samples: Starwood Property (Starwood Property Trust, Inc.), Underwriting Agreement (Starwood Property Trust, Inc.), Underwriting Agreement (Starwood Property Trust, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 13 contracts
Samples: Underwriting Agreement (AssetMark Financial Holdings, Inc.), Underwriting Agreement (Wix.com Ltd.), Underwriting Agreement (Option Care Health, Inc.)
Investment Company Act. The Company is not andnot, after giving effect to and upon the offering issuance and sale of the Shares Securities as herein contemplated and the application of the net proceeds thereof therefrom as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of as such terms are defined the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder amended (collectively, the “Investment Company Act”). Neither the Operating Partnership nor any of the subsidiaries of the Company is an “investment company” as defined in the Investment Company Act.
Appears in 11 contracts
Samples: Underwriting Agreement (Arbor Realty Trust Inc), Underwriting Agreement (Arbor Realty Trust Inc), Underwriting Agreement (Arbor Realty Trust Inc)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Offered ADSs and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 8 contracts
Samples: Underwriting Agreement (Freeline Therapeutics Holdings PLC), Underwriting Agreement (Dynacure S.A.), Cowen and Company (Orchard Rx LTD)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 8 contracts
Samples: Underwriting Agreement (Nano-X Imaging Ltd.), Underwriting Agreement (Nano-X Imaging Ltd.), Ignyta, Inc.
Investment Company Act. The Neither the Company is not andnor Xxxxxxxx Xxxx is, nor after giving effect to the offering and sale of the Shares and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 8 contracts
Samples: Letter Agreement (Hamilton Lane INC), Letter Agreement (Hamilton Lane INC), Letter Agreement (Hamilton Lane INC)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 7 contracts
Samples: Underwriting Agreement (Axalta Coating Systems Ltd.), Underwriting Agreement (Axalta Coating Systems Ltd.), Underwriting Agreement (Axalta Coating Systems Ltd.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 6 contracts
Samples: C1 Merger Agreement (Bank of the Ozarks Inc), Synovus Financial Corp, Synovus Financial Corp
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Offered ADSs and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”)thereunder.
Appears in 6 contracts
Samples: Trony Solar Holdings Co LTD, Xunlei LTD, Xunlei LTD
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, Statement and the Pricing General Disclosure Package and the Final Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 6 contracts
Samples: Agency Agreement (Javelin Pharmaceuticals, Inc), Placement Agency Agreement (Javelin Pharmaceuticals, Inc), Placement Agency Agreement (SilverSun Technologies, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 5 contracts
Samples: Intrexon Corp, Intrexon Corp, Precigen, Inc.
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing General Disclosure Package and the Prospectus, will not be be, required to register as an “investment company,” or an entity “controlled” by an “investment company” within the meaning of as defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 5 contracts
Samples: Underwriting Agreement (Aldeyra Therapeutics, Inc.), Underwriting Agreement (Aldeyra Therapeutics, Inc.), Underwriting Agreement (Aldeyra Therapeutics, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 5 contracts
Samples: Underwriting Agreement (Clovis Oncology, Inc.), Underwriting Agreement (Clovis Oncology, Inc.), Execution Version (Clovis Oncology, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares ADSs and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”)thereunder.
Appears in 5 contracts
Samples: Underwriting Agreement (Materialise Nv), Pricing Agreement (Innocoll AG), Pricing Agreement (Innocoll GmbH)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Offered Securities and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 5 contracts
Samples: Underwriting Agreement (HW Electro Co., Ltd.), Underwriting Agreement (Yoshitsu Co., LTD), Underwriting Agreement (HW Electro Co., Ltd.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing General Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 5 contracts
Samples: Underwriting Agreement (Texas Capital Bancshares Inc/Tx), Underwriting Agreement (Texas Capital Bancshares Inc/Tx), Underwriting Agreement (Texas Capital Bancshares Inc/Tx)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as as, an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 5 contracts
Samples: Underwriting Agreement (CyberArk Software Ltd.), GDS Holdings LTD, GDS Holdings LTD
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Units and the Private Placement Warrants and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 5 contracts
Samples: Underwriting Agreement (Spring Valley Acquisition Corp. II), Underwriting Agreement (Victory Acquisition Corp.), Underwriting Agreement (Spring Valley Acquisition Corp. II)
Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, Prospectus will not be be, required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 5 contracts
Samples: Management Agreement (Apollo Commercial Real Estate Finance, Inc.), Underwriting Agreement (Apollo Commercial Real Estate Finance, Inc.), Underwriting Agreement (Apollo Commercial Real Estate Finance, Inc.)
Investment Company Act. The Company is not and, nor after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, Prospectus will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 4 contracts
Samples: Deciphera Pharmaceuticals, Inc., Deciphera Pharmaceuticals, Inc., Deciphera Pharmaceuticals, Inc.
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 4 contracts
Samples: Underwriting Agreement (DoubleDown Interactive Co., Ltd.), DoubleDown Interactive Co., Ltd., DoubleDown Interactive Co., Ltd.
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Units and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”)thereunder.
Appears in 4 contracts
Samples: Underwriting Agreement (Palatin Technologies Inc), Palatin Technologies Inc, EnteroMedics Inc
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Units and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the applicable rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 4 contracts
Samples: Underwriting Agreement (Excolere Acquisition Corp.), Underwriting Agreement (Accelerate Acquisition Corp.), Underwriting Agreement (Accelerate Acquisition Corp.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be, nor will it be required to register as as, an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 4 contracts
Samples: Quanterix Corp, Quanterix Corp, Quanterix Corp
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares (including the Share Repurchase) and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 4 contracts
Samples: Underwriting Agreement (Michaels Companies, Inc.), Letter Agreement (Michaels Companies, Inc.), Letter Agreement (Michaels Companies, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Underwritten Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 4 contracts
Samples: Synovus Financial (Synovus Financial Corp), Synovus Financial Corp, Synovus Financial Corp
Investment Company Act. The Company is not not, and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”)thereunder.
Appears in 4 contracts
Samples: Underwriting Agreement (Biocryst Pharmaceuticals Inc), Biocryst Pharmaceuticals Inc, Biocryst Pharmaceuticals Inc
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 4 contracts
Samples: Underwriting Agreement (Kinsale Capital Group, Inc.), Underwriting Agreement (Kinsale Capital Group, Inc.), Umpqua Holdings Corp
Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in each of the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 4 contracts
Samples: Underwriting Agreement (ONE Gas, Inc.), ONE Gas, Inc., ONE Gas, Inc.
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, Statement and the Pricing General Disclosure Package and the Final Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Agency Agreement (SilverSun Technologies, Inc.), Agency Agreement (SilverSun Technologies, Inc.), Placement Agency Agreement (SANUWAVE Health, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of required to register under the Investment Company Act of 1940, as amendedamended (the “Investment Company Act” which term, and as used herein, includes the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”thereunder).
Appears in 3 contracts
Samples: Underwriting Agreement (New Business Netherlands N.V.), Underwriting Agreement (New Business Netherlands N.V.), New Business Netherlands N.V.
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be be, required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”)thereunder.
Appears in 3 contracts
Samples: Ziopharm Oncology Inc, Ziopharm Oncology Inc, Ziopharm Oncology Inc
Investment Company Act. The Company is not andnot, and immediately after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, Prospectus will not be be, required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Constellation Pharmaceuticals Inc, Constellation Pharmaceuticals Inc, Constellation Pharmaceuticals Inc
Investment Company Act. The Company is not and, immediately after giving effect to the offering and sale of the Shares Offered Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing General Disclosure Package and the Final Prospectus, will not be be, required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”)thereunder.
Appears in 3 contracts
Samples: Underwriting Agreement (SYNERGY RESOURCES Corp), Underwriting Agreement (Synergy Resources Corp), Underwriting Agreement (Synergy Resources Corp)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”)thereunder.
Appears in 3 contracts
Samples: Underwriting Agreement (Lipocine Inc.), Underwriting Agreement (Venaxis, Inc.), Candela Medical, Inc.
Investment Company Act. The Company is not and, after giving effect to the offering Offering and sale of the Shares Units and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Forbion European Acquisition Corp.), Forbion European Acquisition Corp., www.sendd.com
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (D-Market Electronic Services & Trading), eHi Car Services LTD, Tyme Technologies, Inc.
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”)thereunder.
Appears in 3 contracts
Samples: Underwriting Agreement (Fiverr International Ltd.), Underwriting Agreement (Fiverr International Ltd.), Ortho Clinical Diagnostics Holdings PLC
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, Statement or the Pricing Disclosure Package and the ProspectusPackage, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Uil Holdings Corp, Uil Holdings Corp, Uil Holdings Corp
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “"investment company” " or an entity “"controlled” " by an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “"Investment Company Act”").
Appears in 3 contracts
Samples: Underwriting Agreement (Anacor Pharmaceuticals Inc), Portland General Electric Co /Or/, DealerTrack Holdings, Inc.
Investment Company Act. The Company is not and, immediately after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”)thereunder.
Appears in 3 contracts
Samples: Underwriting Agreement (Akoya Biosciences, Inc.), Underwriting Agreement (Verve Therapeutics, Inc.), Underwriting Agreement (Akoya Biosciences, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Notes and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”)thereunder.
Appears in 3 contracts
Samples: Fidelity National Financial, Inc., Fidelity National Financial, Inc., Fidelity National Financial, Inc.
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of as such term is described in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Orbotech LTD, Orbotech LTD, Orbotech LTD
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Primary Shares and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Disco (Guernsey) Holdings L.P. Inc., Accenture PLC, Duck Creek Technologies, Inc.
Investment Company Act. The Company is not andnot, and after giving effect to the offering issuance and sale of the Shares by the Company pursuant to this Agreement and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Healthequity, Inc.), Underwriting Agreement (Healthequity, Inc.), Underwriting Agreement (Healthequity, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be be, required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Athenex, Inc.), Underwriting Agreement (Athenex, Inc.), Underwriting Agreement (Athenex, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: La Quinta Holdings Inc., La Quinta Holdings Inc., La Quinta Holdings Inc.
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing General Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Southern National Bancorp of Virginia Inc), Underwriting Agreement (Capital Bank Corp), Southern National Bancorp of Virginia Inc
Investment Company Act. The Company is not and, immediately after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Sunnova Energy International Inc., Sunnova Energy International Inc., Sunnova Energy International Inc.
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the net proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of as defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Cleveland-Cliffs Inc.), Underwriting Agreement (Cliffs Natural Resources Inc.), Cliffs Natural Resources Inc.
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of under the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder amended (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Colfax CORP), Underwriting Agreement (Colfax CORP), Underwriting Agreement (Colfax CORP)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Atara Biotherapeutics, Inc.), Atara Biotherapeutics, Inc., Atara Biotherapeutics, Inc.
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of as defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Cliffs Natural Resources Inc., Cliffs Natural Resources Inc., Cliffs Natural Resources Inc.
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Offered Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing General Disclosure Package and the Final Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within as defined in the meaning of the United States Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder amended (collectively, the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Niu Technologies), Underwriting Agreement (LAIX Inc.), Underwriting Agreement (Huize Holding LTD)
Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the Shares and the Private Placement Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, Prospectus will not be be, required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Apollo Residential Mortgage, Inc.), Apollo Commercial Real Estate Finance, Inc.
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Public Shares and the Private Placement Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing General Disclosure Package and the Prospectus, will not be be, required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”), and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”)thereunder.
Appears in 2 contracts
Samples: Underwriting Agreement (Panacea Acquisition Corp. II), Underwriting Agreement (Panacea Acquisition Corp. II)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Offered Shares and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Stratasys Ltd.), Underwriting Agreement (Objet LTD)
Investment Company Act. The Company is and the LLC are not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be be, required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”)thereunder.
Appears in 2 contracts
Samples: Underwriting Agreement (Nextracker Inc.), Underwriting Agreement (Nextracker Inc.)
Investment Company Act. The Company is not andnot, after giving effect to and upon the offering issuance and sale of the Shares as herein contemplated and the application of the net proceeds thereof therefrom as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, Prospectus will not be required to register as be, an “investment company” or an entity “controlled” by an “investment company” within the meaning of as such terms are defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder amended (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Hanover Bancorp, Inc. /NY), Underwriting Agreement (LINKBANCORP, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or nor will it be an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Master Lease Agreement (Getty Realty Corp /Md/), Master Lease Agreement (Getty Realty Corp /Md/)
Investment Company Act. The Company is not and, after giving effect to the offering transactions contemplated by this Agreement and sale of the Shares Units Agreements and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: South Jersey (South Jersey Industries Inc), South Jersey (South Jersey Industries Inc)
Investment Company Act. The Company is not and, after giving effect to the issuance, offering and sale of the Shares and the application of the proceeds thereof as described in each of the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”)thereunder.
Appears in 2 contracts
Samples: Gaming & Leisure Properties, Inc., Gaming & Leisure Properties, Inc.
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Offered Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing General Disclosure Package and the Final Prospectus, will not be required to register as an “investment company,” or an entity “controlled” by an “investment company” within the meaning of as defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Paying Agency Agreement (Global Payments Inc), Underwriting Agreement (Global Payments Inc)
Investment Company Act. The Company is not and, immediately after giving effect to the offering and sale of the Shares and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Bloom Energy Corp, Fox Factory Holding Corp
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register (i) as an “investment company” or an entity “controlled” by an “investment company” within the meaning of under the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”)) or (ii) as an entity “controlled” by an “investment company” within the meaning of the Investment Company Act.
Appears in 2 contracts
Samples: Retail Properties of America, Inc., Retail Properties of America, Inc.
Investment Company Act. The Company is and the Operating Company are not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, neither will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Strategic Hotels & Resorts, Inc), Strategic Hotels & Resorts, Inc
Investment Company Act. The Company is not not, and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be be, required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of as such term is defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: NanoString Technologies Inc, NanoString Technologies Inc
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof upon completion of the offering and sale of the Shares as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Nektar Therapeutics, Nektar Therapeutics
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, Prospectus and the application of the proceeds thereof as described in each of the Pricing Disclosure Package and the Prospectus under the heading “Use of Proceeds,” the Company will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”)thereunder.
Appears in 2 contracts
Samples: Underwriting Agreement (Laredo Petroleum, Inc.), Underwriting Agreement (Vital Energy, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares ADSs and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Cencosud S.A.), Underwriting Agreement (United Breweries Co Inc)
Investment Company Act. The Neither the Company is not andnor Hxxxxxxx Xxxx is, nor after giving effect to the offering and sale of the Shares and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Letter Agreement (Hamilton Lane INC), Hamilton Lane INC
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”)thereunder.
Appears in 2 contracts
Samples: Underwriting Agreement (Mind Technology, Inc), Underwriting Agreement (Mind Technology, Inc)
Investment Company Act. The Company is not and, after giving effect to the transactions contemplated by the Call Spread Confirmations, the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package Time of Sale Information and the ProspectusOffering Memorandum, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”)thereunder.
Appears in 2 contracts
Samples: Knowles Corp, World Wrestling Entertainmentinc
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof received by the Company, if any, as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”)thereunder.
Appears in 2 contracts
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of as defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Cliffs Natural Resources Inc., Cliffs Natural Resources Inc.
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Offered ADSs and the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: BioNTech SE, BioNTech SE
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Notes and the application of the proceeds thereof as described in the Registration Statement, the Pricing General Disclosure Package and the Final Prospectus, will not be required to register as an “investment company,” or an entity “controlled” by an “investment company” within the meaning of as defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder amended (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Otis Worldwide Corp), Underwriting Agreement (Otis Worldwide Corp)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof received by the Company as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Axalta Coating Systems Ltd.), CommScope Holding Company, Inc.
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing General Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”)thereunder.
Appears in 2 contracts
Samples: Underwriting Agreement (Petroleum Development Corp), Underwriting Agreement (Petroleum Development Corp)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of as defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Frontier Communications Corp), Frontier Communications Corp
Investment Company Act. The Company is not registered and, after giving effect to the offering and sale of the Shares Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register register, as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Quantum Fuel Systems Technologies Worldwide, Inc., Quantum Fuel Systems Technologies Worldwide, Inc.
Investment Company Act. The Company is not andnot, after giving effect to and upon the offering issuance and sale of the Shares Securities as herein contemplated and the application of the net proceeds thereof therefrom as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, Prospectus will not be be, required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of under the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder amended (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Independent Bank Group, Inc.), Underwriting Agreement (Veritex Holdings, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Notes and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Fidelity National Financial, Inc., Fidelity National Financial, Inc.
Investment Company Act. The Company is not andnot, after giving effect to and upon the offering issuance and sale of the Shares Securities as herein contemplated and the application of the net proceeds thereof therefrom as described in the Registration Statement, the Pricing General Disclosure Package and the Prospectus, and after giving effect to the transactions contemplated by the Capped Call Confirmations will not be be, required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of as such term is defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Pebblebrook Hotel Trust), Underwriting Agreement (Pebblebrook Hotel Trust)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Offered Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing General Disclosure Package and the Final Prospectus, will not be required to register as an “investment company,” or an entity “controlled” by an “investment company” within the meaning of as defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder amended (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Global Payments Inc), Fiserv Inc
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Laredo Petroleum (Laredo Petroleum Holdings, Inc.), Laredo Petroleum Holdings, Inc.
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Shares Offered Securities and the application of the proceeds thereof as described in the Registration Statement, the Pricing General Disclosure Package and the Final Prospectus, will not be required to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of as defined in the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Spinal Elements Holdings, Inc.), Underwriting Agreement (Spinal Elements Holdings, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering offer and sale of the Shares and the application of the proceeds thereof therefrom as described in each of the Registration Statement, the Pricing Disclosure Package and the Prospectus, Prospectus will not be required to register as be, an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: VEREIT Operating Partnership, L.P., VEREIT Operating Partnership, L.P.
