Common use of Investment Company Act Clause in Contracts

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 466 contracts

Samples: Underwriting Agreement (Misonix Inc), Underwriting Agreement (Gossamer Bio, Inc.), Purchase Agreement (First Pactrust Bancorp Inc)

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Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 94 contracts

Samples: Purchase Agreement (Tornier B.V.), Purchase Agreement (American Financial Group Inc), Purchase Agreement (Rue21, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 91 contracts

Samples: Underwriting Agreement (Ross Acquisition Corp II), Underwriting Agreement (Anzu Special Acquisition Corp I), Underwriting Agreement (Endologix Inc /De/)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as contemplated herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 28 contracts

Samples: Terms Agreement (Express, Inc.), Equity Offeringsm Sales Agreement (Acumen Pharmaceuticals, Inc.), Equity Sales Agreement (Armour Residential REIT, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Notes as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 15 contracts

Samples: Underwriting Agreement (Office Properties Income Trust), Underwriting Agreement (Dick's Sporting Goods, Inc.), Underwriting Agreement (Tapestry, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Notes as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 14 contracts

Samples: Underwriting Agreement (Globe Life Inc.), Underwriting Agreement (Coach Inc), Underwriting Agreement (Tapestry, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated by this Agreement and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 14 contracts

Samples: Underwriting Agreement (Safe Bulkers, Inc.), Underwriting Agreement (Safe Bulkers, Inc.), Underwriting Agreement (Safe Bulkers, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares to be purchased by the Agent from the Company as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus Prospectus, will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 13 contracts

Samples: Equity Distribution Agreement (Colony Capital, Inc.), Equity Distribution Agreement (Colony Capital, Inc.), Equity Distribution Agreement (Colony Capital, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities to be purchased by the Underwriters from the Company as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus Prospectus, will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 13 contracts

Samples: Underwriting Agreement (Colony Financial, Inc.), Underwriting Agreement (Colony Financial, Inc.), Underwriting Agreement (Colony Financial, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Underwritten Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under or a company “controlled” by an investment company within the meaning of the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 10 contracts

Samples: Terms Agreement (United States Cellular Corp), Terms Agreement (United States Cellular Corp), Underwriting Agreement (Telephone & Data Systems Inc /De/)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as as, an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 8 contracts

Samples: Purchase Agreement (Danaher Corp /De/), Purchase Agreement (Danaher Corp /De/), Underwriting Agreement (Danaher Corp /De/)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities and the Concurrent Securities, as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 7 contracts

Samples: Underwriting Agreement (Equity One, Inc.), Underwriting Agreement (Equity One, Inc.), Underwriting Agreement (Equity One, Inc.)

Investment Company Act. The Neither the Company nor the Operating Partnership is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 7 contracts

Samples: Underwriting Agreement (Physicians Realty Trust), Underwriting Agreement (Physicians Realty Trust), Underwriting Agreement (Physicians Realty L.P.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus Prospectus, will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 7 contracts

Samples: Underwriting Agreement (Eagle Materials Inc), Underwriting Agreement (Intercept Pharmaceuticals Inc), Underwriting Agreement (Intercept Pharmaceuticals Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 7 contracts

Samples: Underwriting Agreement (Synthetic Biologics, Inc.), Terms Agreement (MEI Pharma, Inc.), Underwriting Agreement (Hudson Technologies Inc /Ny)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 7 contracts

Samples: Underwriting Agreement (Restoration Hardware Holdings Inc), Underwriting Agreement (Bojangles', Inc.), Underwriting Agreement (FleetMatics Group PLC)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under ”, as such term is defined in the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 6 contracts

Samples: Underwriting Agreement (Oriental Financial Group Inc), Underwriting Agreement (Republic First Bancorp Inc), Underwriting Agreement (Flushing Financial Corp)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Time of Sale Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 6 contracts

Samples: Underwriting Agreement (Checkpoint Therapeutics, Inc.), Underwriting Agreement (Checkpoint Therapeutics, Inc.), Underwriting Agreement (Aytu Bioscience, Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Notes as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 6 contracts

Samples: Underwriting Agreement (First Eagle Alternative Capital BDC, Inc.), Underwriting Agreement (First Eagle Alternative Capital BDC, Inc.), Underwriting Agreement (THL Credit, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and or the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 6 contracts

Samples: Underwriting Agreement (Theravance Biopharma, Inc.), Purchase Agreement (Theravance Inc), Underwriting Agreement (Theravance Biopharma, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as contemplated herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 5 contracts

Samples: Underwriting Agreement (Cedar Realty Trust, Inc.), Underwriting Agreement (Claros Mortgage Trust, Inc.), Underwriting Agreement (Claros Mortgage Trust, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 5 contracts

Samples: Underwriting Agreement (Hudson Technologies Inc /Ny), Underwriting Agreement (Karyopharm Therapeutics Inc.), Terms Agreement (MEI Pharma, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom therefrom, as described in the Registration Statement, the General Disclosure Package and the Prospectus Prospectus, will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 5 contracts

Samples: Underwriting Agreement (Prothena Corp PLC), Underwriting Agreement (Prothena Corp PLC), Underwriting Agreement (Prothena Corp PLC)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 5 contracts

Samples: Cousins Properties Incorporated (Cousins Properties Inc), Cousins Properties Incorporated (Cousins Properties Inc), Cousins Properties Incorporated (Cousins Properties Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus Prospectuses will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 4 contracts

Samples: Underwriting Agreement (Aeterna Zentaris Inc.), Underwriting Agreement (Aeterna Zentaris Inc.), Underwriting Agreement (Aeterna Zentaris Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities and the deposit with the Depositary of the Shares as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 4 contracts

Samples: Underwriting Agreement (Cellectis S.A.), Underwriting Agreement (Cellectis S.A.), Underwriting Agreement (Cellectis S.A.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Underwritten Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an a registered management investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 4 contracts

Samples: Purchase Agreement (Horizon Technology Finance Corp), Purchase Agreement (Horizon Technology Finance Corp), Purchase Agreement (Golub Capital BDC, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as contemplated herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 4 contracts

Samples: Terms Agreement (Protalix BioTherapeutics, Inc.), Terms Agreement (Protalix BioTherapeutics, Inc.), Equity Offeringsm Sales Agreement (Uniti Group Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as contemplated herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 4 contracts

Samples: Underwriting Agreement (Cedar Realty Trust, Inc.), Execution (Cedar Realty Trust, Inc.), Underwriting Agreement (Cedar Realty Trust, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an "investment company" under the Investment Company Act of 1940, as amended (the "1940 Act").

Appears in 4 contracts

Samples: Underwriting Agreement (Tandem Diabetes Care Inc), Underwriting Agreement (Ship Finance International LTD), Underwriting Agreement (8x8 Inc /De/)

Investment Company Act. The Company is not required, and upon after giving effect to the issuance offer and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 4 contracts

Samples: Underwriting Agreement (Venator Materials PLC), Underwriting Agreement (Venator Materials PLC), Underwriting Agreement (Venator Materials PLC)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Public Securities as herein contemplated by this Agreement and the application of the net proceeds therefrom as described in the Registration Statement, the General Pricing Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 4 contracts

Samples: Underwriting Agreement (Pyxis Tankers Inc.), Underwriting Agreement (Pyxis Tankers Inc.), Underwriting Agreement (Pyxis Tankers Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an "investment company" under the Investment Company Act of 1940, as amended (the "1940 Act").

Appears in 4 contracts

Samples: Purchase Agreement (Stifel Financial Corp), Purchase Agreement (Alleghany Corp /De), Purchase Agreement (Adams Respiratory Therapeutics, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities and the deposit with the Depositary of the Underlying Shares as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 4 contracts

Samples: Underwriting Agreement (Orphazyme a/S), Underwriting Agreement (Genmab a/S), Underwriting Agreement (Delimobil Holding S.A.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Pricing Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 4 contracts

Samples: RAPT Therapeutics, Inc., Cardlytics, Inc., Cardlytics, Inc.

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under or an entity “controlled” by an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 4 contracts

Samples: Purchase Agreement (Nv Energy, Inc.), Purchase Agreement (Nv Energy, Inc.), Nevada Power (Nv Energy, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Notes as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 4 contracts

Samples: Underwriting Agreement (Noble Energy Inc), Underwriting Agreement (Noble Energy Inc), Underwriting Agreement (Noble Energy Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated by this Agreement and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an "investment company" under the Investment Company Act of 1940, as amended (the "1940 Act").

Appears in 4 contracts

Samples: Underwriting Agreement (Seanergy Maritime Holdings Corp.), Underwriting Agreement (Box Ships Inc.), Underwriting Agreement (Box Ships Inc.)

Investment Company Act. The Company is not requiredrequired and, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus Prospectus, will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 3 contracts

Samples: Underwriting Agreement (Qihoo 360 Technology Co LTD), Underwriting Agreement (Bitauto Holdings LTD), Underwriting Agreement (Bitauto Holdings LTD)

Investment Company Act. The Company is not required, and or upon the issuance and sale of the Securities Shares as contemplated herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 3 contracts

Samples: Sales Agency Agreement (Community Healthcare Trust Inc), Sales Agency Agreement (Community Healthcare Trust Inc), Sales Agency Agreement (Community Healthcare Trust Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as contemplated herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an "investment company" under the Investment Company Act of 1940, as amended (the "1940 Act").

Appears in 3 contracts

Samples: Armour Residential (Armour Residential REIT, Inc.), Armour Residential (Armour Residential REIT, Inc.), Underwriting Agreement (Armour Residential REIT, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 3 contracts

Samples: Underwriting Agreement (Paratek Pharmaceuticals, Inc.), Underwriting Agreement (Paratek Pharmaceuticals, Inc.), Underwriting Agreement (Paratek Pharmaceuticals, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as contemplated herein contemplated and or the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 3 contracts

Samples: Underwriting Agreement (TPG RE Finance Trust, Inc.), Underwriting Agreement (TPG RE Finance Trust, Inc.), Underwriting Agreement (TPG RE Finance Trust, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities and the deposit with the Depositary of the Underlying Ordinary Shares as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 3 contracts

Samples: Underwriting Agreement (ASLAN Pharmaceuticals LTD), Underwriting Agreement (ASLAN Pharmaceuticals LTD), Underwriting Agreement (ASLAN Pharmaceuticals LTD)

Investment Company Act. The Company is not required, and upon after giving effect to the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 3 contracts

Samples: Underwriting Agreement (VectivBio Holding AG), Underwriting Agreement (VectivBio Holding AG), Underwriting Agreement (VectivBio Holding AG)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Securities, and upon the exercise of the Warrants and the issuance of the Warrant Shares, as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 3 contracts

Samples: Underwriting Agreement (MDNA Life Sciences, Inc.), Underwriting Agreement (MDNA Life Sciences, Inc.), Underwriting Agreement (MDNA Life Sciences, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus under the caption “Use of Proceeds” will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 3 contracts

Samples: Underwriting Agreement (Arlo Technologies, Inc.), Underwriting Agreement (Netgear, Inc), Underwriting Agreement (Arlo Technologies, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Securities, as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 3 contracts

Samples: Underwriting Agreement (Western Asset Mortgage Capital Corp), Underwriting Agreement (Western Asset Mortgage Capital Corp), Equity Distribution Agreement (Western Asset Mortgage Capital Corp)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Notes as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 3 contracts

Samples: Underwriting Agreement (Newmarket Corp), Underwriting Agreement (Workday, Inc.), Underwriting Agreement (Teledyne Technologies Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Offered Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Final Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 3 contracts

Samples: Underwriting Agreement (AG Mortgage Investment Trust, Inc.), Underwriting Agreement (AG Mortgage Investment Trust, Inc.), Underwriting Agreement (AG Mortgage Investment Trust, Inc.)

Investment Company Act. The Company is not requirednot, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be requiredbe, required to register as an “investment company” under as such term is defined in the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

Samples: Purchase Agreement (Pebblebrook Hotel Trust), Purchase Agreement (Pebblebrook Hotel Trust)

Investment Company Act. The Company is not required, and upon the issuance and sale allotment of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

Samples: Underwriting Agreement, Underwriting Agreement (Iterum Therapeutics LTD)

Investment Company Act. The Company is not required, and upon the issuance and sale of the offered Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 2 contracts

Samples: Underwriting Agreement (Kla Corp), Kla Corp

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Pricing Disclosure Package and the Prospectus Prospectus, will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

Samples: Idenix Pharmaceuticals Inc, Idenix Pharmaceuticals Inc

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities and the Management Shares as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus Prospectus, will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

Samples: Purchase Agreement (Colony Financial, Inc.), Purchase Agreement (Colony Financial, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under within the meaning of the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 2 contracts

Samples: Equity Offeringsm Sales Agreement (Weingarten Realty Investors /Tx/), Equity Offering Sales Agreement (Weingarten Realty Investors /Tx/)

Investment Company Act. The Company is not required, and upon the consummation of the Transactions and the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus Prospectus, the Company will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

Samples: Underwriting Agreement (Etre Reit, LLC), Colony American Homes, Inc.

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under within the meaning of the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

Samples: Underwriting Agreement (Home Properties Inc), Underwriting Agreement (Home Properties Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Offered Securities and the deposit with the Depositary of the Underlying ADS Shares as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

Samples: Underwriting Agreement (Biophytis SA), Underwriting Agreement (Biophytis SA)

Investment Company Act. The Company is not requirednot, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be requiredcause it to be, required to register as an “investment company” under as such term is defined in the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

Samples: Underwriting Agreement (Inland Real Estate Corp), Purchase Agreement (Inland Real Estate Corp)

Investment Company Act. The Company is not required, and upon solely after giving effect to the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

Samples: Underwriting Agreement (Validus Holdings LTD), Underwriting Agreement (Validus Holdings LTD)

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Investment Company Act. The Company is not required, and and, upon the issuance and sale of the Securities by the Selling Stockholder as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus Prospectus, will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

Samples: Underwriting Agreement (LendingTree, Inc.), Underwriting Agreement (Gci Liberty, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package or the Prospectus and the Prospectus consummation of the transactions contemplated by the Capped Call Confirmations will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

Samples: Underwriting Agreement (Theravance Inc), Underwriting Agreement (Theravance Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities and Warrant Shares as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 2 contracts

Samples: Underwriting Agreement (89bio, Inc.), Underwriting Agreement (89bio, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the offered Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus Prospectus, will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

Samples: Purchase Agreement (Noranda Aluminum Holding CORP), Underwriting Agreement (Noranda Aluminum Holding CORP)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus Prospectuses will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 2 contracts

Samples: Underwriting Agreement (Ym Biosciences Inc), Underwriting Agreement (Aeterna Zentaris Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described under “Use of Proceeds” in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” or an entity “controlled” by an “investment company” within the meaning of such terms under the Investment Company Act of 1940, as amended (amended, and the “1940 Act”)rules and regulations of the Commission thereunder.

Appears in 2 contracts

Samples: Underwriting Agreement (AFC Gamma, Inc.), Underwriting Agreement (Chicago Atlantic Real Estate Finance, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Offered ADSs as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

Samples: Underwriting Agreement (Forward Pharma a/S), Underwriting Agreement (Pampa Energy Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Securities, as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

Samples: Underwriting Agreement (Western Asset Mortgage Capital Corp), Underwriting Agreement (Western Asset Mortgage Capital Corp)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as contemplated herein contemplated and or the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 2 contracts

Samples: Underwriting Agreement (TPG RE Finance Trust, Inc.), Underwriting Agreement (TPG RE Finance Trust, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

Samples: Purchase Agreement (THL Credit, Inc.), Underwriting Agreement (THL Credit, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Notes as contemplated herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 2 contracts

Samples: Distribution Agreement (American Honda Finance Corp), Distribution Agreement (American Honda Finance Corp)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities New Notes as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 2 contracts

Samples: Dealer Manager Agreement (Conifer Holdings, Inc.), Placement Agent Agreement (Conifer Holdings, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the offered Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

Samples: Purchase Agreement (Ucbh Holdings Inc), Underwriting Agreement (Kla Tencor Corp)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus Final Prospectuses will not be required, to register seek an order permitting registration as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 2 contracts

Samples: Underwriting Agreement (North American Palladium LTD), Underwriting Agreement (North American Palladium LTD)

Investment Company Act. The Neither the Company nor Senseonics is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 2 contracts

Samples: Underwriting Agreement (Senseonics Holdings, Inc.), Underwriting Agreement (Senseonics Holdings, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom and the issuance and sale of Common Stock by the Company in the Concurrent Common Stock Offering and the application of the net proceeds therefrom, in each case as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 1 contract

Samples: Underwriting Agreement (Ii-Vi Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as as, an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Underwriting Agreement (Northern Trust Corp)

Investment Company Act. The Company is not required, and upon the allotment and issuance and sale of the Securities Ordinary Shares and the deposit with the Depositary or its nominee of the Ordinary Shares as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package Statement and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Investment Company Act”).

Appears in 1 contract

Samples: Sales Agreement (Mereo Biopharma Group PLC)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares and the deposit with the Depositary of the Shares as herein contemplated and the application of the net proceeds Net Proceeds therefrom as described in the Registration Statement, the General Disclosure Package Statement and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Sales Agreement (Cellectis S.A.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Underwriting Agreement (Oil States International, Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale consummation of the Securities as herein transactions contemplated and the application of the net proceeds therefrom by this Agreement as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Underwriting Agreement (WisdomTree Investments, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities to be purchased by the Underwriter from the Company as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus Prospectus, will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Underwriting Agreement (Colony Financial, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus Final Prospectuses will not be required, to register seek an order permitting registration as an "investment company" under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 1 contract

Samples: Purchase Agreement (North American Palladium LTD)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Notes as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 1 contract

Samples: Underwriting Agreement (Select Income Reit)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described disclosed in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Underwriting Agreement (Hutchison China MediTech LTD)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities and the deposit with the Depositary of the Underlying Shares as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package Package, the Prospectus and the Prospectus European Prospectus, will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Underwriting Agreement (Ablynx NV)

Investment Company Act. The Neither the Company nor any of its subsidiaries is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 1 contract

Samples: Delcath Systems, Inc.

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities Shares as contemplated herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Equity Offeringsm Sales Agreement (Cedar Realty Trust, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus Final Offering Memorandum (including the entry into and performance by the Company under the Call Spread Confirmations) will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Purchase Agreement (Patrick Industries Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company,under as such term is defined in the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Underwriting Agreement (Sun Bancorp Inc /Nj/)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the transactions contemplated by the Capped Call Confirmations and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus Final Offering Memorandum will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Purchase Agreement (Monster Worldwide, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of Securities by the Securities Company as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under as such term is defined in the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 1 contract

Samples: Underwriting Agreement (CLARIVATE PLC)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities and the Preferred Stock as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Underwriting Agreement (Mb Financial Inc /Md)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be be, required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Underwriting Agreement (RAIT Financial Trust)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom and the issuance and sale of any preferred stock in the Concurrent Preferred Stock Offering and the application of the net proceeds therefrom, in each case as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 1 contract

Samples: Ii-Vi Inc

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).. (xxviii)

Appears in 1 contract

Samples: Underwriting Agreement (CorEnergy Infrastructure Trust, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and contemplated, the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus Prospectus, including the consummation of the transactions contemplated by the Capped Call Confirmations, will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Underwriting Agreement (Intercept Pharmaceuticals Inc)

Investment Company Act. The Company is not required, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”).

Appears in 1 contract

Samples: Underwriting Agreement (YETI Holdings, Inc.)

Investment Company Act. The Company is not required, and upon the issuance and issuance, sale and/or delivery of the Securities as herein contemplated and any Confirmation Securities and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be required, to register as an “investment company” under the Investment Company Act of 1940, as amended (the “1940 Act”)amended.

Appears in 1 contract

Samples: Equity Distribution Agreement (National Health Investors Inc)

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