Investment Company Act. Neither the Company nor any of the Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 327 contracts
Samples: Common Stock (Oragenics Inc), Sales Agreement (Mind Medicine (MindMed) Inc.), Sales Agreement (Singing Machine Co Inc)
Investment Company Act. Neither the Company nor any of the Subsidiaries Subsidiary is or, after giving effect to the offering and sale of the Placement Shares, will be required to register as an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 141 contracts
Samples: Common Stock (iBio, Inc.), Financing Agreement (Luminar Technologies, Inc./De), Common Stock (Nanoviricides, Inc.)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 107 contracts
Samples: Subordinated Note Purchase Agreement (BCB Bancorp Inc), Credit Agreement (Host Hotels & Resorts L.P.), Credit Agreement (Host Hotels & Resorts L.P.)
Investment Company Act. Neither the Company nor any of the Subsidiaries Subsidiary is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 71 contracts
Samples: Sales Agreement (CorMedix Inc.), CorMedix Inc., Sales Agreement (LIGHTBRIDGE Corp)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” ", or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in ", within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 62 contracts
Samples: Credit Agreement (Washington Mutual Inc), Credit Agreement (Suiza Foods Corp), Credit Agreement (Harsco Corp)
Investment Company Act. Neither the Company Holdings nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 38 contracts
Samples: Credit Agreement (International Money Express, Inc.), Credit Agreement (Fintech Acquisition Corp. II), Credit Agreement (Nutraceutical International Corp)
Investment Company Act. Neither the Company Holdings nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 37 contracts
Samples: Credit Agreement (Nutraceutical International Corp), Credit Agreement (Atc Group Services Inc /De/), Security Agreement (Dole Food Company Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to an investment company within the offering and sale meaning of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (amended, or, directly or indirectly, controlled by or acting on behalf of any Person which is an investment company, within the “Investment Company meaning of said Act”).
Appears in 36 contracts
Samples: Securities Purchase Agreement, Securities Purchase Agreement (Fly Leasing LTD), Securities Purchase Agreement (Fly Leasing LTD)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 32 contracts
Samples: Subordinated Note Purchase Agreement (QCR Holdings Inc), Form of Subordinated Note Purchase Agreement (Amerant Bancorp Inc.), Subordinated Note Purchase Agreement (Eagle Bancorp Montana, Inc.)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” ”, or an entity a company “controlled” by an “investment company,” as such terms are defined in ”, within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 24 contracts
Samples: Revolving Credit Facility Agreement (Southwest Airlines Co), Revolving Credit Agreement (Motorola Solutions, Inc.), Revolving Credit Facility Agreement (Southwest Airlines Co)
Investment Company Act. Neither the Company nor any of the Subsidiaries Subsidiaries, is now or, after giving effect to the offering and sale of the Placement Shares, will be required to register as an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 20 contracts
Samples: Equity Distribution Agreement (Oncolytics Biotech Inc), Equity Distribution Agreement (Quipt Home Medical Corp.), Equity Distribution Agreement (Oncolytics Biotech Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in ”, within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 19 contracts
Samples: Credit Agreement (Ball Corp), Credit Agreement (Ball Corp), Credit Agreement (Ball Corp)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 17 contracts
Samples: Credit Agreement (Diedrich Coffee Inc), Credit Agreement (Global Industries LTD), Credit Agreement (Global Industries LTD)
Investment Company Act. Neither the Company nor or any of the Subsidiaries Subsidiary is or, after giving effect to the offering and sale of the Placement Shares, will it be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 17 contracts
Samples: Lexaria Bioscience Corp., NeuroSense Therapeutics Ltd., Elicio Therapeutics, Inc.
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering Purchase and sale the application of the Placement Sharesproceeds thereof, will be become an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (amended, and the “Investment Company Act”)rules and regulations of the SEC thereunder.
Appears in 15 contracts
Samples: Security Purchase Agreement (Sequans Communications), Security Purchase Agreement (Sequans Communications), Security Purchase Agreement (Sequans Communications)
Investment Company Act. Neither the Company Holdings nor any of the its ---------------------- Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 13 contracts
Samples: Credit Agreement (Dade Behring Inc), Credit Agreement (Big v Supermarkets Inc), Credit Agreement (Collins & Aikman Floor Coverings Inc)
Investment Company Act. Neither the Company nor any of the Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be required to register as an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 10 contracts
Samples: Sales Agreement (Perspective Therapeutics, Inc.), Sales Agreement (Anixa Biosciences Inc), Sales Agreement (Aytu Biopharma, Inc)
Investment Company Act. Neither the Company nor any of the Subsidiaries Subsidiary is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 10 contracts
Samples: Brickell Biotech, Inc., Brickell Biotech, Inc., Pluristem Therapeutics Inc
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 10 contracts
Samples: Credit Agreement (Wellman Inc), Global Credit Agreement (Ocean Energy Inc), Reducing Revolving Credit Agreement (Di Industries Inc)
Investment Company Act. Neither the Company nor any of the Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” or an entity “controlled” by an “investment company,” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended (the “"INVESTMENT COMPANY ACT"), nor is the Company nor any of the Subsidiaries directly or indirectly controlled by or acting on behalf of any Person which is an "investment company" within the meaning of the Investment Company Act”).
Appears in 9 contracts
Samples: Securities Purchase Agreement (Innovative Gaming Corp of America), Securities Purchase Agreement (Storage Computer Corp), Securities Purchase Agreement (Wareforce Com Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in ”, within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 9 contracts
Samples: Credit Agreement (Greif, Inc), Credit Agreement (Greif, Inc), Credit Agreement (Greif Inc)
Investment Company Act. Neither the Company nor any of the Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 8 contracts
Samples: Open Market Sale (Protagonist Therapeutics, Inc), Terms Agreement (Global Medical REIT Inc.), Terms Agreement (Global Medical REIT Inc.)
Investment Company Act. Neither the Company Corporation nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” ", or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in ", within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 8 contracts
Samples: Subscription Agreement (Ramsay Health Care Inc), Amended and Restrated Subscription Agreement (Ramsay Health Care Inc), Subscription Agreement (Ramsay Health Care Inc)
Investment Company Act. Neither the Company nor any of the Subsidiaries Subsidiary is or, after giving effect to the offering and sale of the Placement Shares, will be required to register as an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 8 contracts
Samples: Investment Agreement (Perspective Therapeutics, Inc.), Investment Agreement (Perspective Therapeutics, Inc.), Underwriting Agreement (Quantum Corp /De/)
Investment Company Act. Neither the Company nor any of the Subsidiaries is or, after giving effect to the offering and sale of the Placement SharesShares and the application of the proceeds thereof as described in the Registration Statement and the Prospectus, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 7 contracts
Samples: Sales Agreement (Galmed Pharmaceuticals Ltd.), Sales Agreement (Galmed Pharmaceuticals Ltd.), Sales Agreement (Galmed Pharmaceuticals Ltd.)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is oris, and, after giving effect to the offering and sale consummation of the Placement Sharestransactions contemplated hereby and by the other Company Agreements, will be be, an “investment company” or an entity “controlledcontrolled by” by an “investment company,” (as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”amended).
Appears in 7 contracts
Samples: Securities Purchase Agreement (You on Demand Holdings, Inc.), Securities Purchase Agreement (Beijing Sun Seven Stars Culture Development LTD), Securities Purchase Agreement (You on Demand Holdings, Inc.)
Investment Company Act. Neither the Company nor any of the Subsidiaries is oris, and after giving effect to the offering and sale of the Placement SharesSecurities and the use of the proceeds as described under the caption “Use of Proceeds” in the General Disclosure Package and the Prospectus, will be an “investment company” or an entity “controlled” by an “investment company,” ”, as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 7 contracts
Samples: Underwriting Agreement (DiamondRock Hospitality Co), Purchase Agreement (DiamondRock Hospitality Co), Purchase Agreement (DiamondRock Hospitality Co)
Investment Company Act. Neither the Company nor any of the Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” or an entity “controlled” by an “investment company,” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended (the “"Investment Company Act”"), nor is the Company nor any of the Subsidiaries directly or indirectly controlled by or acting on behalf of any Person which is an "investment company" within the meaning of the Investment Company Act.
Appears in 7 contracts
Samples: Securities Purchase Agreement (Inforetech Wireless Technology Inc), Securities Purchase Agreement (Compositech LTD), Securities Purchase Agreement (Innovative Gaming Corp of America)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” ", "promoter", "principal under" or "controlled by" an entity “controlled” by an “"investment company,” as such terms are defined in ", within the meaning of the Investment Company Act of 1940, as amended (amended. The making of the “Investment Advances by Lenders, the application of the proceeds and repayment thereof by Company Act”)and the consummation of the transactions contemplated by the Loan Papers will not violate any such Act or any rule, regulation or order thereunder issued by the Securities and Exchange Commission.
Appears in 7 contracts
Samples: Credit Agreement (Franchise Finance Corp of America), Credit Agreement (Franchise Finance Corp of America), Credit Agreement (Franchise Finance Corp of America)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity company “controlled” by an “investment company,” company as such terms are defined in in, or subject to regulation under, the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 7 contracts
Samples: Revolving Credit Agreement (Group 1 Automotive Inc), Revolving Credit Agreement (Group 1 Automotive Inc), Revolving Credit Agreement (Group 1 Automotive Inc)
Investment Company Act. Neither the Company nor any of the its ---------------------- Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” ", or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in ", within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 7 contracts
Samples: Credit Agreement (Xl Capital LTD), Credit Agreement (Advanstar Inc), Credit Agreement (Capital Re Corp)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to an "investment company" or a Person directly or indirectly "controlled" by or acting on behalf of an "investment company" within the offering and sale meaning of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the United States Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 6 contracts
Samples: Note Purchase Agreement (Regent Assisted Living Inc), Note Purchase Agreement (Regent Assisted Living Inc), Note Purchase Agreement (Regent Assisted Living Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is oris, and, after giving effect to the offering and sale of the Placement SharesShares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, none of them will be be, an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 6 contracts
Samples: Underwriting Agreement (MPT Operating Partnership, L.P.), Underwriting Agreement (MPT Operating Partnership, L.P.), Underwriting Agreement (MPT Operating Partnership, L.P.)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to an investment company within the offering and sale meaning of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (or, directly or indirectly, controlled by or acting on behalf of any Person which is an investment company, within the “Investment Company meaning of said Act”).
Appears in 6 contracts
Samples: Securities Purchase Agreement (Parkway Properties Inc), Securities Purchase Agreement (Starr International Co Inc), Securities Purchase Agreement (China MediaExpress Holdings, Inc.)
Investment Company Act. Neither the Company nor any of the Subsidiaries is orand, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 6 contracts
Samples: Underwriting Agreement (Ashford Hospitality Trust Inc), Underwriting Agreement (Ashford Hospitality Trust Inc), Underwriting Agreement (Ashford Hospitality Trust Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” ”, or an entity a company “controlled” by an a registered “investment company,” as such terms are defined in ”, within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 6 contracts
Samples: Credit Agreement (Lazard LTD), Credit Agreement (Lazard Group LLC), Credit Agreement (Lazard LTD)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in ", within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 6 contracts
Samples: Credit Agreement (Flag Telecom Holdings LTD), Credit Agreement (Grand Union Co /De/), Credit Agreement (Glatfelter P H Co)
Investment Company Act. Neither the Company nor any of the Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “"controlled” " by an “"investment company,” " as such terms are defined in the Investment Company Act of 1940, as amended (the “"Investment Company Act”").
Appears in 6 contracts
Samples: Snow Lake Resources Ltd., Sales Agreement (Chembio Diagnostics, Inc.), Microvision, Inc.
Investment Company Act. Neither the Company nor any of the Subsidiaries is or, after giving effect to the offering and sale of the Placement Offered Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 6 contracts
Samples: Underwriting Agreement (Protagonist Therapeutics, Inc), Theratechnologies Inc., Underwriting Agreement (CareDx, Inc.)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” ", or a company "controlled by" an entity “controlled” by an “"investment company,” as such terms are defined in ", within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 6 contracts
Samples: Preferred Stock Purchase Agreement (Nuco2 Inc /Fl), Warrant Agreement (Nuco2 Inc /Fl), Special Warrant Agreement (Nuco2 Inc /Fl)
Investment Company Act. Neither the Company nor any of the Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”), and the Company and its Subsidiaries and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 6 contracts
Samples: Common Stock (Ault Alliance, Inc.), Sales Agreement (SciSparc Ltd.), Common Stock (Ault Global Holdings, Inc.)
Investment Company Act. Neither the Company nor any of its Subsidiaries is, and upon consummation of the Subsidiaries is or, after giving effect to the offering and sale of the Placement SharesSecurities will not be, will be an “investment company,” an affiliate of an “investment company,” a company controlled by an “investment company” or an entity “controlledaffiliated person” by of, or “promoter” or “principal underwriter” for, an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Taronis Technologies, Inc.), Securities Purchase Agreement (Taronis Technologies, Inc.), Securities Purchase Agreement (Taronis Technologies, Inc.)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 5 contracts
Samples: Sales Agreement (Sanara MedTech Inc.), Galena Biopharma (Galena Biopharma, Inc.), Omeros Corp
Investment Company Act. Neither the Company nor any of the its Subsidiaries is oris, and, after giving effect to the offering and sale of the Placement SharesShares and the application of the proceeds thereof as described in the Registration Statement, the Prospectus or any Permitted Free Writing Prospectus, none of them will be be, an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 5 contracts
Samples: Medical Properties Trust Inc, Equity Distribution Agreement (Medical Properties Trust Inc), Equity Distribution Agreement (Medical Properties Trust Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 5 contracts
Samples: Credit Agreement (Diedrich Coffee Inc), Credit Agreement (Arkansas Best Corp /De/), Credit Agreement (Sealed Air Corp/De)
Investment Company Act. Neither the Company nor any of the Material Subsidiaries is or, after giving effect to the offering and sale of the Placement SharesShares and the application of the proceeds thereof as described in the Registration Statement and the Prospectus, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 5 contracts
Samples: Sales Agreement (Avino Silver & Gold Mines LTD), Sales Agreement (Energy Fuels Inc), Sales Agreement (Avino Silver & Gold Mines LTD)
Investment Company Act. Neither the Company Company, the Operating Partnership, nor any of the Subsidiaries Subsidiary is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 4 contracts
Samples: Physicians Realty Trust, Physicians Realty Trust, Physicians Realty Trust
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “controlled” controlled by an “"investment company,” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 4 contracts
Samples: Warehousing Credit and Security Agreement (BNC Mortgage Inc), Warehousing Credit and Security Agreement (E Loan Inc), Credit and Security Agreement (First NLC Financial Services Inc)
Investment Company Act. Neither the Company nor any of the Subsidiaries is or, after giving effect to the offering and sale of the Placement SharesSecurities, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 4 contracts
Samples: Underwriting Agreement (Protagonist Therapeutics, Inc), Underwriting Agreement (Protagonist Therapeutics, Inc), Underwriting Agreement (Novus Therapeutics, Inc.)
Investment Company Act. Neither the Company nor any of the Material Subsidiaries is or, after giving effect to the offering and sale of the Placement SharesUnits and the application of the proceeds thereof as described in the Registration Statement or included or incorporated by reference in the Time of Sale Prospectus and the Prospectuses, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 4 contracts
Samples: Underwriting Agreement (Vista Gold Corp), Underwriting Agreement (Energy Fuels Inc), Underwriting Agreement (Vista Gold Corp)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be are an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 4 contracts
Samples: Stock Purchase Agreement (HUGHES Telematics, Inc.), Stock Purchase Agreement (HUGHES Telematics, Inc.), Stock Purchase Agreement (HUGHES Telematics, Inc.)
Investment Company Act. Neither the Company nor any of the Subsidiaries is orits subsidiaries is, and, after giving effect to the offering and sale of the Placement SharesShares and the application of the proceeds thereof as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, none of them will be be, an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 4 contracts
Samples: Underwriting Agreement (MPT Operating Partnership, L.P.), Underwriting Agreement (Medical Properties Trust Inc), Underwriting Agreement (MPT Operating Partnership, L.P.)
Investment Company Act. Neither the Company nor any of the its Restricted Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 4 contracts
Samples: Credit Agreement (Tsecrp Inc), Credit Agreement (Vegeterian Times Inc), Credit Agreement (Western Empire Publications Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “controlled” by "affiliated person" of, or "promoter" or "principal underwriter" for, an “"investment company,” ", as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 4 contracts
Samples: Credit Facility Agreement (Southwest Airlines Co), Credit Facility Agreement (Southwest Airlines Co), Competitive Advance and Revolving Credit Facility Agreement (Southwest Airlines Co)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is oris, and, after giving effect to the offering and sale consummation of the Placement Sharestransactions contemplated hereby and by the other Company Agreements, will be be, an “"investment company” " or an entity “controlled” by "controlled by" an “"investment company,” " (as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”amended).
Appears in 3 contracts
Samples: Series E Preferred Stock Purchase Agreement (You on Demand Holdings, Inc.), Preferred Stock Purchase Agreement (New Mountain Partners Lp), Preferred Stock Purchase Agreement (Res Care Inc /Ky/)
Investment Company Act. Neither the Holdings, any Company nor any of the their respective Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” or an entity “controlled” by an “investment company,” " as such terms are defined in the Investment Company Act of 1940, as amended (amended. The consummation of the “Investment Company Act”)transactions contemplated by the Operative Documents do not and will not violate any provision of such Act or any rule, regulation or order issued by the Securities and Exchange Commission thereunder.
Appears in 3 contracts
Samples: Credit Agreement (Lets Talk Cellular & Wireless Inc), Credit Agreement (Lets Talk Cellular & Wireless Inc), Credit Agreement (Lets Talk Cellular & Wireless Inc)
Investment Company Act. Neither the Company nor any of the Subsidiaries is orSubsidiaries, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “"controlled” " by an “"investment company,” ", as such terms are defined in the Investment Company Act of 1940, as amended (the “"Investment Company Act”").
Appears in 3 contracts
Samples: Controlled Equity Offeringsm (Paragon Shipping Inc.), Sales Agreement (DryShips Inc.), Sales Agreement (Top Tankers Inc.)
Investment Company Act. Neither the Company nor any of the its ---------------------- Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 3 contracts
Samples: Securities Purchase Agreement (Finestar International LTD), Securities Purchase Agreement (Artesyn Technologies Inc), Securities Purchase Agreement (Artesyn Technologies Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to an investment company within the offering and sale meaning of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (amended, or, directly or indirectly, controlled by or acting on behalf of any Person which is an investment company, within the “Investment Company Act”)meaning of such act.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Scientific Industries Inc), Securities Purchase Agreement (Scientific Industries Inc), Securities Purchase Agreement (Eclipse Resources Corp)
Investment Company Act. Neither the Company nor any of the its Consolidated Subsidiaries is or, after giving effect to an investment company within the offering and sale meaning of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (amended, or directly or indirectly, controlled by or acting on behalf of any Person which is an investment company within the meaning of said Act, and shall not become such an “Investment Company Actinvestment company” or under such “control.”).
Appears in 3 contracts
Samples: Credit Agreement (RPM International Inc/De/), Credit Agreement (RPM International Inc/De/), Credit Agreement (RPM International Inc/De/)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be (i) an “investment company” or an entity “a company controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended amended, (the ii) a “Investment Company Act”)holding company” or a “subsidiary company” of a “holding company” or an “affiliate” of either a “holding company” or (ii) subject to any other federal or state law or regulation which purports to restrict or regulate its ability to borrow money.
Appears in 3 contracts
Samples: Year Credit Agreement (Eastman Chemical Co), Credit Agreement (Eastman Chemical Co), Term Loan Agreement (Eastman Chemical Co)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to an investment company within the offering and sale meaning of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (or, directly or indirectly, controlled by or acting on behalf of any person which is an investment company, within the “Investment Company meaning of said Act”).
Appears in 3 contracts
Samples: Series D Preferred Stock Purchase Agreement (Merriman Curhan Ford Group, Inc.), Preferred Stock Purchase Agreement (Merriman Curhan Ford Group, Inc.), Preferred Stock Purchase Agreement (Merriman Curhan Ford Group, Inc.)
Investment Company Act. Neither the Company nor any of the Subsidiaries its Subsidiary is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 3 contracts
Samples: Sales Agreement (Verastem, Inc.), Sales Agreement (Verastem, Inc.), Sales Agreement (Transcept Pharmaceuticals Inc)
Investment Company Act. Neither As of the date hereof, neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended 1940 (the “"1940 Act"), or is subject to registration under the 1940 Act or the Investment Company Advisers Act of 1940 (the "Advisers Act”").
Appears in 3 contracts
Samples: Agreement and Plan of Merger (Alpnet Inc), Agreement and Plan of Merger (Newmedia Spark PLC), Agreement and Plan of Merger (Alpnet Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “"investment company,” as such terms are defined in " or a company "controlled" by an "investment company," within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Levine Leichtman Capital Partners Ii Lp), Credit Agreement (American Italian Pasta Co), Credit Agreement (American Italian Pasta Co)
Investment Company Act. Neither the Company Holdings nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” ", or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in ", within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 3 contracts
Samples: Credit Agreement (Sothebys Holdings Inc), Credit Agreement (Sothebys Holdings Inc), Credit Agreement (Sothebys Holdings Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be (i) an “"investment company” " or a company "controlled by" an entity “controlled” by an “investment company,” as such terms are defined in company within the meaning of the Investment Company Act of 1940, as amended amended, and the rules and regulations of the Commission promulgated thereunder, or (ii) a "holding company" or a "subsidiary company" of a holding company or an "affiliate" thereof within the “Investment meaning of the Public Utility Holding Company Act”)Act of 1935, as amended.
Appears in 3 contracts
Samples: Preferred Unit Purchase Agreement (Donjoy LLC), Common Unit Purchase Agreement (Donjoy LLC), Common Unit Purchase Agreement (Dj Orthopedics Capital Corp)
Investment Company Act. Neither the Company nor any of the Material Subsidiaries is or, after giving effect to the offering and sale of the Placement SharesShares and the application of the proceeds thereof as described in the Registration Statement and the Prospectuses, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 3 contracts
Samples: Sales Agreement (Avino Silver & Gold Mines LTD), Sales Agreement (Avino Silver & Gold Mines LTD), Energy Fuels Inc
Investment Company Act. Neither the Company Holdings nor any of the its Restricted Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 3 contracts
Samples: Intercreditor Agreement (Southeastern Grocers, LLC), Credit Agreement (Leap Wireless International Inc), Credit Agreement (Leap Wireless International Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be (i) an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended amended, (the ii) a “Investment Company Act”)holding company” or a “subsidiary company” of a “holding company” or an “affiliate” of either a “holding company” or (ii) subject to any other federal or state law or regulation which purports to restrict or regulate its ability to borrow money.
Appears in 3 contracts
Samples: Assignment and Assumption (Eastman Chemical Co), Year Credit Agreement (Eastman Chemical Co), Assignment and Assumption (Eastman Chemical Co)
Investment Company Act. Neither the Company nor any of the Material Subsidiaries is or, after giving effect to the offering and sale of the Placement SharesOffered Shares and the application of the proceeds thereof as described in the Offering Documents, as applicable, will be required to register as an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 3 contracts
Samples: Underwriting Agreement (Denison Mines Corp.), Underwriting Agreement (Auryn Resources Inc.), Underwriting Agreement (Auryn Resources Inc.)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in ", within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 3 contracts
Samples: Credit Agreement (Huntsman Advanced Materials (UK) LTD), Credit Agreement (Ball Corp), Credit Agreement (Veritas DGC Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is are or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 3 contracts
Samples: Sales Agreement (Akebia Therapeutics, Inc.), Akebia Therapeutics, Inc., Akebia Therapeutics, Inc.
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement SharesShares and the application of the proceeds thereof as described in the Prospectus, will be required to register as an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 3 contracts
Samples: Purchase Agreement (Immtech Pharmaceuticals, Inc.), Placement Agency Agreement (Sangamo Biosciences Inc), Subscription Agreement (Sangamo Biosciences Inc)
Investment Company Act. Neither the Company nor any of the or its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be be, an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 3 contracts
Samples: Forte Biosciences, Inc., Forte Biosciences, Inc., Bionano Genomics, Inc
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”).amended. 4.7
Appears in 3 contracts
Samples: Subordinated Note Purchase Agreement (Bankwell Financial Group, Inc.), Subordinated Note Purchase Agreement (Professional Holding Corp.), Execution Copy Subordinated Note Purchase Agreement (Sound Financial Bancorp, Inc.)
Investment Company Act. Neither the Company it nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 2 contracts
Samples: Senior Secured Credit Agreement (Universal Compression Holdings Inc), Senior Secured Credit Agreement (Exterran Holdings Inc.)
Investment Company Act. Neither the Company nor any of its subsidiaries is, and immediately after receipt of payment for the Subsidiaries is or, after giving effect to Securities hereunder and the offering and sale application of the Placement Sharesnet proceeds from such issuance and sale, none of the Company nor any of its subsidiaries will be be, an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Forte Biosciences, Inc.), Stock Purchase Agreement (Cullinan Therapeutics, Inc.)
Investment Company Act. Neither the Company nor any of the Subsidiaries is or, after giving effect to the offering and sale of the Placement SharesShares and the application of the proceeds therefrom as described under “Use of Proceeds” in the Registration Statement and the Prospectus, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 2 contracts
Samples: Sales Agreement (Sonida Senior Living, Inc.), Terms Agreement (Microvision, Inc.)
Investment Company Act. Neither the Company nor any of its Subsidiaries is, nor upon the Subsidiaries is or, after giving effect to the offering issuance and sale of the Placement SharesSecurities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectuses will be, will be an “"investment company” " or an entity “"controlled” " by an “"investment company,” " as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company "1940 Act”").
Appears in 2 contracts
Samples: International Purchase Agreement (Global Telesystems Group Inc), Purchase Agreement (Global Telesystems Group Inc)
Investment Company Act. Neither the Company nor any of the Subsidiaries is oris, after giving effect to the offering and sale or upon consummation of the Placement Sharestransactions contemplated hereby will be, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 2 contracts
Samples: Underwriting Agreement (Huntsman International LLC), Underwriting Agreement (Huntsman International LLC)
Investment Company Act. Neither the Company nor any of the its ---------------------- Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “controlled” controlled by an “"investment company,” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 2 contracts
Samples: Credit and Security Agreement (Iown Holdings Inc), Loan and Security Agreement (Nab Asset Corp)
Investment Company Act. Neither the Company nor any of the Subsidiaries is orSubsidiaries, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” ”, as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 2 contracts
Samples: Sales Agreement (Oceanfreight Inc.), Controlled Equity Offeringsm (Paragon Shipping Inc.)
Investment Company Act. Neither the Company it nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be (i) an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended amended; or (ii) a “holding company” or a “subsidiary company” of a “holding company” or an “affiliate” of either a “holding company” or a “subsidiary company” within the “Investment meaning of the Public Utility Holding Company Act”)Act of 1935, as amended.
Appears in 2 contracts
Samples: Credit Agreement (Prime Group Realty Trust), Mezzanine Construction Loan Agreement (Prime Group Realty Trust)
Investment Company Act. Neither the Company nor any of the Subsidiaries Subsidiary is or, or after giving effect to the offering and sale of the Placement Shares, will it be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 2 contracts
Samples: Catalyst Biosciences, Inc., IDI, Inc.
Investment Company Act. Neither the Company nor any of the Subsidiaries is orSubsidiaries, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 2 contracts
Samples: Sales Agreement (Sangamo Biosciences Inc), Sales Agreement (Introgen Therapeutics Inc)
Investment Company Act. Neither the Company nor any of the Subsidiaries is orits subsidiaries is, and after giving effect to the offering and sale of the Placement SharesShares will be, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended amended, and the rules and regulations of the Commission thereunder (collectively, the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Polypore International, Inc.), Polypore International, Inc.
Investment Company Act. Neither the Company nor any of the its Subsidiaries is are or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 2 contracts
Samples: Akebia Therapeutics, Inc., Akebia Therapeutics, Inc.
Investment Company Act. Neither the Company nor any of the its ---------------------- Subsidiaries is or, after giving effect to the offering and sale an "investment company" or a company "controlled" by an "investment company" (as each of the Placement Shares, will be an “investment company” quoted terms is defined or an entity “controlled” by an “investment company,” as such terms are defined used in the Investment Company Act of 1940, as amended (the “Investment Company Act”amended).
Appears in 2 contracts
Samples: Credit Agreement (Jostens Inc), Credit Agreement (Pameco Corp)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale an "investment company" or a company "controlled" by an "investment company" (as each of the Placement Shares, will be an “investment company” quoted terms is defined or an entity “controlled” by an “investment company,” as such terms are defined used in the Investment Company Act of 1940, as amended (the “Investment Company Act”amended).
Appears in 2 contracts
Samples: Note Purchase Agreement (Horizon Telecom Inc), Note Purchase Agreement (Horizon Telcom Inc)
Investment Company Act. Neither the Company it nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” ”, or an entity a company “controlled” by an “investment company,” as such terms are defined in ”, within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 2 contracts
Samples: Stockholders’ Agreement (Gsi Commerce Inc), Stockholders’ Agreement (Gsi Commerce Inc)
Investment Company Act. Neither the Company nor any of the Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be required to register as an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (CareCloud, Inc.), Karyopharm Therapeutics Inc.
Investment Company Act. Neither the Company nor any of the its ------------------------ Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " or an entity “a company "controlled” " by an “"investment company,” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 2 contracts
Samples: Revolving Credit Agreement (Compaq Computer Corp), Revolving Credit Agreement (Compaq Computer Corp)
Investment Company Act. Neither the Company nor any of its Subsidiaries is, nor upon the Subsidiaries is or, after giving effect to the offering issuance and sale of the Placement SharesShares as herein contemplated and the application of the net proceeds therefrom as described in the General Disclosure Package and the Final Prospectus will be, will be an “"investment company” " or an entity “"controlled” " by an “"investment company,” " as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 2 contracts
Samples: Underwriting Agreement (Amr Corp), Underwriting Agreement (Amr Corp)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “"investment company” " nor is the Company or any of its Subsidiaries directly or indirectly controlled by or acting on behalf of any Person which is an entity “controlled” by an “investment company,” as such terms are defined in "Investment Company" within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 2 contracts
Samples: Purchase Agreement (Sequoia Software Corp), Subscription Agreement (Edison Schools Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering purchase and sale of the Placement SharesShares contemplated hereby and the application of the proceeds thereof, will be become an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”), and the rules and regulations of the Commission thereunder.
Appears in 2 contracts
Investment Company Act. Neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” controlled by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 2 contracts
Samples: Warehousing Credit and Security Agreement (Sirva Inc), Warehousing Credit and Security Agreement (Sirva Inc)
Investment Company Act. Neither the Company nor any of the its Subsidiaries is orand, after giving effect to the offering offer and sale of the Placement SharesSubordinated Notes as contemplated herein, will be be, an “investment company” or an entity a company “controlled” by an “investment company,” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 2 contracts
Samples: Subordinated Note Purchase Agreement (Meridian Corp), Form of Subordinated Note Purchase Agreement (Meridian Corp)
Investment Company Act. Neither As of the date hereof, neither the Company nor any of the its Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity a Person directly or indirectly “controlled” by or acting on behalf of an “investment company,” ”, or required to register as such terms are defined an “investment company”, in each case within the meaning of the Investment Company Act of 1940, as amended (the “Investment Company Act”)amended.
Appears in 2 contracts
Samples: Agreement and Plan of Merger (Hepion Pharmaceuticals, Inc.), Agreement and Plan of Merger (Healthcare Capital Corp/De)
Investment Company Act. Neither the Company nor any of the Subsidiaries is or, after giving effect to the offering and sale of the Placement Shares, will be an “investment company” or an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”).
Appears in 2 contracts
Samples: Merger Agreement (Transenterix Inc.), Transenterix Inc.
