Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Securities, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 209 contracts
Samples: Purchase Agreement (ZBB Energy Corp), Purchase Agreement (Alphatec Holdings, Inc.), Purchase Agreement (CoLucid Pharmaceuticals, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the proceeds thereof as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended1940 (the “Investment Company Act”).
Appears in 134 contracts
Samples: Underwriting Agreement (Mammoth Energy Services, Inc.), Underwriting Agreement (PeopleSupport, Inc.), Underwriting Agreement (Diamondback Energy, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the net proceeds thereof, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 112 contracts
Samples: Underwriting Agreement (bioAffinity Technologies, Inc.), Underwriting Agreement (BullFrog AI Holdings, Inc.), Underwriting Agreement (Nocera, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the proceeds thereof as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 64 contracts
Samples: Underwriting Agreement (Cobalt International Energy, Inc.), Underwriting Agreement (FXCM Inc.), Underwriting Agreement (Cobalt International Energy, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesShares and the application of the net proceeds thereof, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 59 contracts
Samples: Underwriting Agreement (Incannex Healthcare LTD), Underwriting Agreement (Hour Loop, Inc), Underwriting Agreement (ASP Isotopes Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the proceeds thereof as described in the General Disclosure Package and the Final Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 51 contracts
Samples: Underwriting Agreement (Xencor Inc), Underwriting Agreement (Entasis Therapeutics Holdings Inc.), Underwriting Agreement (Xencor Inc)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the proceeds thereof as described in the General Disclosure Package and the Final Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended1940 (the “Investment Company Act”).
Appears in 32 contracts
Samples: Underwriting Agreement (Skilled Healthcare Group, Inc.), Underwriting Agreement (Qimonda AG), Underwriting Agreement (Qimonda AG)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Securities, will not be an “investment company,” ”, as such term is terms are defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 20 contracts
Samples: Equity Distribution Agreement (Ashford Hospitality Trust Inc), Equity Distribution Agreement (PLx Pharma Inc.), Equity Distribution Agreement (Marinus Pharmaceuticals Inc)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesShares, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 18 contracts
Samples: Underwriting Agreement (Naked Brand Group Inc.), Underwriting Agreement (Super League Gaming, Inc.), Underwriting Agreement (MamaMancini's Holdings, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the proceeds thereof as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 16 contracts
Samples: Underwriting Agreement (Alder Biopharmaceuticals Inc), Underwriting Agreement (Diplomat Pharmacy, Inc.), Underwriting Agreement (Xenoport Inc)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Securities, will not be an “investment company,” or an entity “controlled” by an “investment company”, as such term is terms are defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 16 contracts
Samples: Underwriting Agreement (State Street Corp), Underwriting Agreement (State Street Corp), Underwriting Agreement (State Street Corp)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Registration Statement and the Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended1940 (the “Investment Company Act”).
Appears in 13 contracts
Samples: Equity Distribution Agreement (Washington Real Estate Investment Trust), Equity Distribution Agreement (Washington Real Estate Investment Trust), Equity Distribution Agreement (Washington Real Estate Investment Trust)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Shares and the application of the proceeds thereof as described in the General Disclosure Package and the Final Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended1940 (the “Investment Company Act”).
Appears in 12 contracts
Samples: Underwriting Agreement (36Kr Holdings Inc.), Underwriting Agreement (Zhangmen Education Inc.), Underwriting Agreement (Pinduoduo Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the proceeds thereof as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 12 contracts
Samples: Underwriting Agreement (Orbitz Worldwide, Inc.), Underwriting Agreement (Annie's, Inc.), Underwriting Agreement (Melco PBL Entertainment (Macau) LTD)
Investment Company Act. The Company is not andnot, and after giving effect to the offering offer and sale of the SecuritiesSecurities and the application of the proceeds therefrom as described in the General Disclosure Package and the Prospectus, will not be be, an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended1940 Act.
Appears in 11 contracts
Samples: Underwriting Agreement (WPX Energy, Inc.), Underwriting Agreement (WPX Energy, Inc.), Underwriting Agreement (WPX Energy, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Disclosure Package and the Final Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 10 contracts
Samples: Dana Incorporated (Dana Inc), Dana Holding Corp, Dana Holding Corp
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the proceeds thereof as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedAct.
Appears in 10 contracts
Samples: Underwriting Agreement (Washington Real Estate Investment Trust), Underwriting Agreement (Washington Real Estate Investment Trust), Underwriting Agreement (Washington Real Estate Investment Trust)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the net proceeds thereof, including the proceeds received upon the exercise of the Warrants, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 9 contracts
Samples: Underwriting Agreement (Biocept Inc), Underwriting Agreement (SenesTech, Inc.), Underwriting Agreement (SenesTech, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the proceeds thereof as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”) or an entity controlled by an investment company.
Appears in 9 contracts
Samples: Underwriting Agreement (Two Harbors Investment Corp.), Underwriting Agreement (Two Harbors Investment Corp.), Underwriting Agreement (Two Harbors Investment Corp.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the proceeds thereof as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.Act;
Appears in 8 contracts
Samples: Underwriting Agreement (Southern Union Co), Underwriting Agreement (Mariner Energy Inc), Underwriting Agreement (Bristow Group Inc)
Investment Company Act. The Company is not andnot, and after giving effect to the offering issuance and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Pricing Disclosure Package, will not be be, an “investment company,” ”, as such term is defined in the Investment Company Act of 1940, as amended, and the rules and regulations thereunder.
Appears in 8 contracts
Samples: Underwriting Agreement (Brighthouse Financial, Inc.), Underwriting Agreement (Brighthouse Financial, Inc.), Underwriting Agreement (Brighthouse Financial, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities as herein contemplated and the application of the proceeds thereof as described in the Pricing Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 8 contracts
Samples: Underwriting Agreement (Zions Bancorporation /Ut/), Underwriting Agreement (Zions Bancorporation /Ut/), Underwriting Agreement (Zions Bancorporation /Ut/)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 8 contracts
Samples: Purchase Agreement (Jefferies Group Inc /De/), Purchase Agreement (Jefferies Group Inc /De/), Purchase Agreement (Jefferies Group Inc /De/)
Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the Securities, Shares and the application of the net proceeds thereof will not be be, an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 7 contracts
Samples: Underwriting Agreement (Falconstor Software Inc), Underwriting Agreement (Falconstor Software Inc), Underwriting Agreement (Falconstor Software Inc)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof, will not be an “investment company,” ”, as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 7 contracts
Samples: Equity Distribution Agreement (Terreno Realty Corp), Equity Distribution Agreement (Terreno Realty Corp), Equity Distribution Agreement (Terreno Realty Corp)
Investment Company Act. The Company is not andnot, and immediately after giving effect to the offering and sale of the SecuritiesShares, will not be be, an “investment company,” as such that term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 7 contracts
Samples: Securities Purchase Agreement (Tellurian Inc. /De/), Distribution Agency Agreement (Tellurian Inc. /De/), Distribution Agency Agreement (Tellurian Inc. /De/)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.;
Appears in 7 contracts
Samples: Underwriting Agreement (Pioneer Natural Resources Co), Pioneer Natural Resources Co, Pioneer Natural Resources Co
Investment Company Act. The Company is not andnot, and immediately after giving effect to the offering and sale of the Offered Securities, will not be be, an “investment company,” as such that term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 7 contracts
Samples: Underwriting Agreement (Tellurian Inc. /De/), Underwriting Agreement (Tellurian Inc. /De/), Placement Agent Agreement (Tellurian Inc. /De/)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesPlacement Shares, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 7 contracts
Samples: Sales Agreement (ONCOSEC MEDICAL Inc), Sales Agreement (CONTRAFECT Corp), Sales Agreement (Beyond Air, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the net proceeds thereof, including the proceeds received upon the exercise of the Warrants will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 7 contracts
Samples: Underwriting Agreement (Real Goods Solar, Inc.), Underwriting Agreement (Real Goods Solar, Inc.), Underwriting Agreement (Real Goods Solar, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Time of Sale Information and the Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 7 contracts
Samples: Underwriting Agreement (United States Steel Corp), Underwriting Agreement (United States Steel Corp), Underwriting Agreement (United States Steel Corp)
Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the SecuritiesShares and the application of proceeds thereof as described in the Disclosure Package, will not be be, an “investment company,” as such term is defined in within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder (collectively, the “1940 Act”).
Appears in 6 contracts
Samples: Underwriting Agreement (Carrizo Oil & Gas Inc), Underwriting Agreement (Carrizo Oil & Gas Inc), Underwriting Agreement (Carrizo Oil & Gas Inc)
Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the Securities, Securities as herein contemplated will not be be, an “investment company,” or an entity “controlled” by an “investment company” as such term is terms are defined in the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Underwriting Agreement (James River Group Holdings, Ltd.), Underwriting Agreement (James River Group Holdings, Ltd.), Underwriting Agreement (James River Group Holdings, Ltd.)
Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the SecuritiesADSs and the application of the proceeds thereof, will not be an “investment company,” ”, as such term is defined in the United States Investment Company Act of 1940, as amended.amended (the “Investment Company Act”);
Appears in 6 contracts
Samples: Underwriting Agreement (KE Holdings Inc.), Underwriting Agreement (iQIYI, Inc.), Underwriting Agreement (Full Truck Alliance Co. Ltd.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended1940 (the “Investment Company Act”).
Appears in 6 contracts
Samples: Underwriting Agreement (Misys PLC), Underwriting Agreement (Misys PLC), Underwriting Agreement (Kraton Performance Polymers, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Securities, will not be an “investment company,” as such term is defined in the United States Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 6 contracts
Samples: Underwriting Agreement (Airgas Inc), Underwriting Agreement (Airgas Inc), Underwriting Agreement (Airgas Inc)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Securities, will not be an “investment company” or an entity “controlled” by an “investment company,” as such term is terms are defined in the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Assure Holdings Corp.), Securities Purchase Agreement (Ziopharm Oncology Inc), Securities Issuance Agreement (Ziopharm Oncology Inc)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesShares and the application of the proceeds thereof as described in the Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.;
Appears in 5 contracts
Samples: Lock Up Agreement (Pioneer Natural Resources Co), Lock Up Agreement (Pioneer Natural Resources Co), Underwriting Agreement (Pioneer Natural Resources Co)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the proceeds thereof as described in the General Disclosure Package, will not be an “"investment company,” " as such term is defined in the Investment Company Act of 1940, as amended1940 (the "Investment Company Act").
Appears in 5 contracts
Samples: Underwriting Agreement (Venoco, Inc.), Underwriting Agreement (Bridgepoint Education Inc), Underwriting Agreement (Bridgepoint Education Inc)
Investment Company Act. The Company is not andnot, nor, after giving effect to the offering and sale of the SecuritiesShares and the Warrants and the application of the proceeds therefrom, will not be it become, an “investment company,” as such term is defined in within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 5 contracts
Samples: Common Stock Purchase Agreement (Interleukin Genetics Inc), Securities Purchase Agreement (Interleukin Genetics Inc), Common Stock Purchase Agreement (Volitionrx LTD)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesShares, will not be an “investment company,” or entity “controlled” by an “investment company”, as such term is terms are defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 4 contracts
Samples: Underwriting Agreement (EQT Corp), Master Purchase Agreement (EQT Corp), Master Purchase Agreement (EQT Corp)
Investment Company Act. The Company is not and, after giving effect to the offering Transactions and sale of the SecuritiesOther Transactions, will not be be, an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Convertible Notes Purchase Agreement (Biora Therapeutics, Inc.), Exchange Agreement (Biora Therapeutics, Inc.), Convertible Notes Purchase Agreement (Biora Therapeutics, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities as herein contemplated and the application of the proceeds thereof as described in the Pricing Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Underwriting Agreement (Zions Bancorporation /Ut/), Underwriting Agreement (Zions Bancorporation /Ut/), Underwriting Agreement (Zions Bancorporation /Ut/)
Investment Company Act. The Company is not an "investment company" and, after giving effect to the offering and sale of the SecuritiesSecurities contemplated by this Agreement and the application of the proceeds therefrom, will not be an “"investment company,” ", as such term is defined in the Investment Company Act of 1940, as amendedamended (the "1940 Act").
Appears in 4 contracts
Samples: Purchase Agreement (Istar Financial Inc), Purchase Agreement (Istar Financial Inc), Purchase Agreement (Istar Financial Inc)
Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the SecuritiesShares, will not be an “investment company” or an entity “controlled” by an “investment company,” as such term is terms are defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 4 contracts
Samples: Securities Purchase Agreement (Immucell Corp /De/), Securities Purchase Agreement (Immucell Corp /De/), Securities Purchase Agreement (Transwitch Corp /De)
Investment Company Act. The Company is not and, at Closing after giving effect to the offering and sale of the Securities, Securities will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended1940 (the “Investment Company Act”).
Appears in 4 contracts
Samples: Underwriting Agreement (Warburg Pincus Private Equity IX, L.P.), Underwriting Agreement (Warburg Pincus Private Equity IX, L.P.), Underwriting Agreement (Builders FirstSource, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the General Disclosure Package or Final Prospectus, will not be an “investment company,” ”, as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Underwriting Agreement (State Street Corp), Underwriting Agreement (State Street Corp), Underwriting Agreement (State Street Corp)
Investment Company Act. The Company is not and, after giving effect to upon the offering and sale of the SecuritiesOffered Securities as herein contemplated, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.amended (the “Investment Company Act”);
Appears in 4 contracts
Samples: Underwriting Agreement (Rockwood Holdings, Inc.), Underwriting Agreement (Rockwood Holdings, Inc.), Underwriting Agreement (Rockwood Holdings, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Securities, will not be an “"investment company,” " as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Purchase Agreement (Chembio Diagnostics, Inc.), Purchase Agreement (Motorcar Parts America Inc), Underwriting Agreement (IZEA Worldwide, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesShares and the application of the proceeds thereof as described in the Time of Sale Information and the Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 4 contracts
Samples: Open Market Sale (Intellia Therapeutics, Inc.), Intellia Therapeutics, Inc., Intellia Therapeutics, Inc.
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”) or an entity controlled by an investment company.
Appears in 4 contracts
Samples: Equity Distribution Agreement (Two Harbors Investment Corp.), Equity Distribution Agreement (Two Harbors Investment Corp.), Equity Distribution Agreement (Granite Point Mortgage Trust Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the proceeds thereof as described in the General Disclosure Package, will not be an “"investment company,” " as such term is defined in the Investment Company Act of 1940, as amended1940 (the "INVESTMENT COMPANY ACT").
Appears in 4 contracts
Samples: Underwriting Agreement (Agria Corp), E-House (China) Holdings LTD, E-House (China) Holdings LTD
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesShares, will not be an “investment company,” or an entity “controlled” by an “investment company”, as such term is terms are defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 4 contracts
Samples: Underwriting Agreement (State Street Corp), Underwriting Agreement (STATE STREET Corp), Underwriting Agreement (State Street Corp)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesNotes, will not be an “investment company,” or entity “controlled” by an “investment company”, as such term is terms are defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 4 contracts
Samples: Purchase Agreement (Equitable Resources Inc /Pa/), Underwriting Agreement (EQT Corp), Equitable Resources Inc /Pa/
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Securities, will not be an “investment company” or an entity “controlled” by an “investment company,” as such term is terms are defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 4 contracts
Samples: Underwriting Agreement (Banuestra Financial CORP), Underwriting Agreement (Banuestra Financial CORP), Underwriting Agreement (Babyuniverse, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesShares, will not be an “investment company” or an entity “controlled” by an “investment company,” as such term is terms are defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Exicure, Inc.), Securities Purchase Agreement (Exicure, Inc.), Form of Securities Purchase Agreement (Yumanity Therapeutics, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the General Disclosure Package, will not be be, an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Analog Devices Inc), Underwriting Agreement (Analog Devices Inc), Underwriting Agreement (Analog Devices Inc)
Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the SecuritiesShares, will not be be, an “investment company,” ”, as such term is defined in the United States Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Underwriting Agreement (Maxeon Solar Technologies, Ltd.), Underwriting Agreement (Maxeon Solar Technologies, Ltd.), Underwriting Agreement (Maxeon Solar Technologies, Ltd.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Offered Securities, will not be be, an “"investment company,” ", as such term is defined in the Investment Company Act of 1940, as amendedamended (the "Investment Company Act").
Appears in 3 contracts
Samples: Execution (Gillette Co), Gillette Co, Gillette Co
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesPublic Securities and the application of the net proceeds thereof, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Underwriting Agreement (Reebonz Holding LTD), Underwriting Agreement (BioNano Genomics, Inc), Underwriting Agreement (Reebonz Holding LTD)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Revance Therapeutics, Inc.), Underwriting Agreement (Revance Therapeutics, Inc.), Underwriting Agreement (Revance Therapeutics, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the net proceeds thereof, including the proceeds received upon the exercise of the Underwriter Warrants will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Underwriting Agreement (Hoth Therapeutics, Inc.), Underwriting Agreement (Hoth Therapeutics, Inc.), Underwriting Agreement (Hoth Therapeutics, Inc.)
Investment Company Act. The Company is not andnot, after giving effect to and upon the offering and sale of the Securities, Securities as herein contemplated will not be be, an “"investment company,” " or an entity "controlled" by an "investment company" as such term is terms are defined in the Investment Company Act of 1940, as amendedamended (the "1940 Act").
Appears in 3 contracts
Samples: Purchase Agreement (Rayovac Corp), Underwriting Agreement (Memc Electronic Materials Inc), Underwriting Agreement (Memc Electronic Materials Inc)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesShares and the application of the net proceeds thereof, including the proceeds received upon the exercise of the Warrants, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Massimo Group (Massimo Group), Underwriting Agreement (Massimo Group), Underwriting Agreement (Massimo Group)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesTransactions, will not be an “investment company,” ”, as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Taysha Gene Therapies, Inc.), Securities Purchase Agreement (Poseida Therapeutics, Inc.), Securities Purchase Agreement (Taysha Gene Therapies, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesStock, will not be be, an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”), and the rules and regulations promulgated thereunder.
Appears in 3 contracts
Samples: Underwriting Agreement (Standard Diversified Inc.), Underwriting Agreement (Turning Point Brands, Inc.), Underwriting Agreement (Turning Point Brands, Inc.)
Investment Company Act. The Company is not andnot, and immediately after giving effect to the offering offer and sale of the SecuritiesSecurities as herein contemplated, will not be be, an “investment company,” as such term is defined in or a company “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.
Appears in 3 contracts
Samples: Underwriting Agreement (OneMain Holdings, Inc.), Underwriting Agreement (OneMain Holdings, Inc.), Underwriting Agreement (OneMain Holdings, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesNotes and the application of the proceeds thereof as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Aon Corp), Underwriting Agreement (Atwood Oceanics Inc), Underwriting Agreement (Atwood Oceanics Inc)
Investment Company Act. The Company is not andnot, after giving effect to and upon the offering and sale of the Securities, Securities as herein contemplated will not be be, an “investment company,” or an entity “controlled” by an “investment company” as such term is terms are defined in the Investment Company Act of 1940, as amendedamended (the “1940 Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Memc Electronic Materials Inc), Underwriting Agreement (Memc Electronic Materials Inc), Underwriting Agreement (Memc Electronic Materials Inc)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesShares and the application of the proceeds thereof, will not be an “investment company,” ”, as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 3 contracts
Samples: Equity Distribution Agreement (Bill Barrett Corp), Bill Barrett Corp, Bill Barrett Corp
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesPreferred Shares and the Warrants and the application of the proceeds thereof, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Giga Tronics Inc), Securities Purchase Agreement (Giga Tronics Inc), Securities Purchase Agreement (Giga Tronics Inc)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Time of Sale Information and the Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Underwriting Agreement (United States Steel Corp), Underwriting Agreement (Associated Banc-Corp), Associated Banc-Corp
Investment Company Act. The Company is not not, and, after giving effect to the offering and sale of the Securities, the Company will not be be, an “"investment company,” " or an entity "controlled" by an investment company, as such term is terms are defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Underwriting Agreement (Ameren Corp), Underwriting Agreement (Ameren Corp), Ameren Corp
Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Time of Sale Disclosure Package and the Prospectus, will not be become an “investment company,” as such term is defined in within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder.
Appears in 3 contracts
Samples: Purchase Agreement (CymaBay Therapeutics, Inc.), Purchase Agreement (CymaBay Therapeutics, Inc.), Purchase Agreement (CymaBay Therapeutics, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Time of Sale Information, the Company will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedAct.
Appears in 3 contracts
Samples: Final Terms and Conditions (City National Corp), Underwriting Agreement (City National Corp), Underwriting Agreement (City National Corp)
Investment Company Act. The Company is not and, after giving ---------------------- effect to the offering and sale of the SecuritiesShares and the application of the proceeds thereof, will not be an “"investment company,” " as such term is defined in the Investment Company Act of 1940, as amendedamended (the "Investment Company Act"). The Company is not directly or indirectly controlled by or acting on behalf of any person which is an "investment company" as such term is defined in the Investment Company Act.
Appears in 3 contracts
Samples: Subscription Agreement (Prosoft I Net Solutions Inc), Subscription Agreement (Prosoft I Net Solutions Inc), Subscription Agreement (Prosoft I Net Solutions Inc)
Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the Securities, will not be be, an “investment company,” or an entity “controlled” by an “investment company” as such term is terms are defined in the Investment Company Act of 1940, as amended.amended (the “Investment Company Act”);
Appears in 3 contracts
Samples: Underwriting Agreement (Oglethorpe Power Corp), Underwriting Agreement (Oglethorpe Power Corp), Underwriting Agreement (Oglethorpe Power Corp)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof, will not be an “investment company,” ”, as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Corpbanca/Fi), Corpbanca (Corpbanca/Fi), BridgeBio Pharma, Inc.
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesShares and the application of the proceeds thereof as described in the General Disclosure Package and the Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Terms Agreement (Neoleukin Therapeutics, Inc.), Terms Agreement (Reata Pharmaceuticals Inc), Underwriting Agreement (Jefferies Group Inc /De/)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended1940 (the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Regions Financial Corp), Pico Holdings Inc /New, Pico Holdings Inc /New
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the proceeds thereof as described in the General Disclosure Package and Final Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended1940 (the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Ferro Corp), Underwriting Agreement (Ambac Financial Group Inc), Underwriting Agreement (Ambac Financial Group Inc)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Time of Sale Information, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Associated Banc-Corp, Associated Banc-Corp, Associated Banc-Corp
Investment Company Act. The Company is not not, and, after giving effect to the offering and sale of the Securities, and the application of the proceeds thereof, will not be an “investment company,” or an entity “controlled” by an “investment company” as such term is terms are defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Purchase Agreement (CareDx, Inc.), Purchase Agreement (CareDx, Inc.), Purchase Agreement (CareDx, Inc.)
Investment Company Act. The Company is not andnot, after giving effect to and upon the offering issuance and sale of the Securities, Securities as herein contemplated and the application of the net proceeds therefrom as described in the Offering Memorandum will not be be, an “"investment company,” " as such term is defined in the Investment Company Act of 1940, as amendedamended (the "1940 Act").
Appears in 3 contracts
Samples: Purchase Agreement (Imc Global Inc), Packard Bioscience Co, Einstein Noah Bagel Corp
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesShares and the application of the proceeds thereof as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended1940 (the “Investment Company Act”).
Appears in 3 contracts
Samples: Terms Agreement (Safe Bulkers, Inc.), Terms Agreement (Tsakos Energy Navigation LTD), Terms Agreement (Tsakos Energy Navigation LTD)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities and the application of the net proceeds thereof as described in the Registration Statement, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Underwriting Agreement (PepperLime Health Acquisition Corp), Underwriting Agreement (PepperLime Health Acquisition Corp), Underwriting Agreement (PepperLime Health Acquisition Corp)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Offered Securities, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (Syntel Inc), Underwriting Agreement (Stillwater Mining Co /De/), Underwriting Agreement (Syntel Inc)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of proceeds thereof as described in the Pricing Disclosure Package and the Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Underwriting Agreement (Spring Bank Pharmaceuticals, Inc.), Registration Rights Agreement (Spring Bank Pharmaceuticals, Inc.), Underwriting Agreement (Spring Bank Pharmaceuticals, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof and the other transactions as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended1940 (the “Investment Company Act”).
Appears in 3 contracts
Samples: Underwriting Agreement (K Road Acquisition CORP), Underwriting Agreement (Heckmann CORP), Underwriting Agreement (Heckmann CORP)
Investment Company Act. The Company is not andnot, and after giving effect to the offering and sale of the Securities contemplated hereunder and for so long any Buyer holds any Securities, will not be an “"investment company,” as " within the meaning of such term is defined in under the Investment Company Act of 1940, 1940 as amendedamended and the rules and regulations of the SEC thereunder.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Energy Telecom, Inc.), Securities Purchase Agreement (Energy Telecom, Inc.), Securities Purchase Agreement (Energy Telecom, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesNotes as contemplated herein, will not be an “investment company,” or an entity “controlled” by an “investment company as such term is terms are defined in the Investment Company Act of 1940, as amendedamended (the “1940 Act”).
Appears in 2 contracts
Samples: Distribution Agreement (United Dominion Realty Trust Inc), Distribution Agreement (UDR, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Securities, will not be an “investment company,” ”, as such term is defined in the United States Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 2 contracts
Samples: Purchase Agreement (Aar Corp), Purchase Agreement (Aar Corp)
Investment Company Act. The Company is not andnot, after giving effect to and following the offering and sale of the Securities, Securities as herein contemplated will not be be, an “investment company,” or an entity “controlled” by an “investment company” as such term is terms are defined in the Investment Company Act of 1940, as amendedamended (the “1940 Act”).
Appears in 2 contracts
Samples: Purchase Agreement (Pantry Inc), Purchase Agreement (Pantry Inc)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of proceeds therefrom, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Purchase Agreement (Sientra, Inc.), Common Stock (Sientra, Inc.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Securities, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended1940 (the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (CST Brands, Inc.), CST Brands, Inc.
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the Securities, will not be an “investment company,” ”, as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 2 contracts
Samples: Equity Distribution Agreement (Northstar Realty Finance Corp.), Equity Distribution Agreement (Northstar Realty Finance Corp.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesNotes, will not be an “"investment company,” " or entity "controlled" by an "investment company", as such term is terms are defined in the Investment Company Act of 1940, as amendedamended (the "Investment Company Act").
Appears in 2 contracts
Samples: Purchase Agreement (Equitable Resources Inc /Pa/), Purchase Agreement (Equitable Resources Inc /Pa/)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Pricing Disclosure Package and the Prospectus, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 2 contracts
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesSecurities and the application of the proceeds thereof as described in the Disclosure Package and the Prospectus, will not be an “investment company,Investment Company” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Underwriting Agreement (Sono Group N.V.), Underwriting Agreement (Sono Group N.V.)
Investment Company Act. The Company is not and, after giving effect to the offering and sale of the SecuritiesOffered Securities as described in the General Disclosure Package, will not be an “investment company,” as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Underwriting Agreement (Standard Parking Corp), Underwriting Agreement (Standard Parking Corp)
