Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 3349 contracts
Samples: Securities Purchase Agreement (ATIF Holdings LTD), Securities Purchase Agreement (Bio-Path Holdings, Inc.), Securities Purchase Agreement (U.S. Gold Corp.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 407 contracts
Samples: Securities Purchase Agreement (Rubini Jonathan Brian), Subscription Agreement (Sito Mobile, Ltd.), Securities Purchase Agreement (Pure Bioscience, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Securities will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 343 contracts
Samples: Underwriting Agreement (Summit Wireless Technologies, Inc.), Underwriting Agreement (Kempharm, Inc), Underwriting Agreement (Nuwellis, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 337 contracts
Samples: Securities Purchase Agreement (Marina Biotech, Inc.), Securities Purchase Agreement (Hartville Group Inc), Securities Purchase Agreement (Gigabeam Corp)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 319 contracts
Samples: Securities Purchase Agreement (Todos Medical Ltd.), Securities Purchase Agreement (Verso Technologies Inc), Securities Purchase Agreement (Innovative Software Technologies Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 141 contracts
Samples: Securities Purchase Agreement (Cambridge Heart Inc), Common Stock Purchase Agreement (Avigen Inc \De), Securities Purchase Agreement (Arrowhead Research Corp)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 117 contracts
Samples: Securities Purchase Agreement (North American Technologies Group Inc /Mi/), Securities Purchase Agreement (Intellipharmaceutics International Inc.), Securities Purchase Agreement (Superconductor Technologies Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 115 contracts
Samples: Securities Purchase Agreement (Enlightened Gourmet, Inc.), Securities Purchase Agreement (Greenfield Farms Food, Inc.), Securities Purchase Agreement (Isonics Corp)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for (as defined in Rule 405 under the Securities, will not be or be an Affiliate Securities Act) of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 99 contracts
Samples: Securities Purchase Agreement (Fonix Corp), Securities Purchase Agreement (Fonix Corp), Securities Purchase Agreement (Medix Resources Inc)
Investment Company. The Company is not, and is not an Affiliate affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 84 contracts
Samples: Securities Purchase Agreement (Kona Gold Beverage, Inc.), Securities Purchase Agreement (Regen BioPharma Inc), Securities Purchase Agreement (Seedo Corp.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Public Shares will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 70 contracts
Samples: Underwriting Agreement (Key Mining Corp.), Underwriting Agreement (Scripps Safe, Inc.), Underwriting Agreement (Bellerophon Therapeutics, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall currently intends to conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 59 contracts
Samples: Terms Agreement (NovaBay Pharmaceuticals, Inc.), Market Offering Agreement (Marrone Bio Innovations Inc), Market Offering Agreement (MGT Capital Investments Inc)
Investment Company. The Company is not, and is not an Affiliate affiliate of, and immediately after receipt of payment for the Securities, Shares will not be or be an Affiliate affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 53 contracts
Samples: Share Exchange Agreement (Ecoark Holdings, Inc.), Subscription Agreement (Drone Aviation Holding Corp.), Subscription Agreement (Bitcoin Shop Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “"investment company” " subject to registration under the Investment Company Act of 1940, as amended.
Appears in 52 contracts
Samples: Securities Purchase Agreement (Oxis International Inc), Form of Securities Purchase Agreement (Terra Tech Corp.), Securities Purchase Agreement (THC Therapeutics, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 50 contracts
Samples: Securities Purchase Agreement (Inovio Biomedical Corp), Securities Purchase Agreement (Stinger Systems, Inc), Common Stock Purchase Agreement (Vision Sciences Inc /De/)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 46 contracts
Samples: Securities Purchase Agreement (Cyberkinetics Neurotechnology Systems, Inc.), Securities Purchase Agreement (Sanswire Corp.), Securities Purchase Agreement (S&W Seed Co)
Investment Company. The Company is not, and is not an Affiliate affiliate of, and immediately after receipt of payment for the Offered Securities, will not be or be an Affiliate affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 35 contracts
Samples: Underwriting Agreement (Boxlight Corp), Underwriting Agreement (LogicMark, Inc.), Underwriting Agreement (Novusterra Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 33 contracts
Samples: Securities Purchase Agreement (Fuel Performance Solutions, Inc.), Securities Purchase Agreement (Telanetix,Inc), Securities Purchase Agreement (Digital Power Corp)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securitiesshares of Preferred Stock, will not be or be an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 32 contracts
Samples: Securities Purchase Agreement (Exabyte Corp /De/), Securities Purchase Agreement (RCG Companies Inc), Securities Purchase Agreement (Accupoll Holding Corp)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Public Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 27 contracts
Samples: Underwriting Agreement (Advaxis, Inc.), Underwriting Agreement (ShiftPixy, Inc.), Underwriting Agreement (iBio, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Shares will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 27 contracts
Samples: Securities Purchase Agreement (IsoRay, Inc.), Underwriting Agreement (Transenterix, Inc.), Underwriting Agreement (CONTRAFECT Corp)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended. The Company is not aware of any person that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Regulation D Securities.
Appears in 25 contracts
Samples: Securities Purchase Agreement (Sincerity Applied Materials Holdings Corp.), Securities Purchase Agreement (Sylios Corp), Securities Purchase Agreement (Sylios Corp)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securitiesshares of Preferred Stock, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 24 contracts
Samples: Securities Purchase Agreement (DDS Technologies Usa Inc), Securities Purchase Agreement (Callisto Pharmaceuticals Inc), Securities Purchase Agreement (World Health Alternatives Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Offered Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 24 contracts
Samples: Underwriting Agreement (Wunong Net Technology Co LTD), Underwriting Agreement (Wunong Net Technology Co LTD), Underwriting Agreement (Wunong Net Technology Co LTD)
Investment Company. The Company is not, and is not an Affiliate affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 22 contracts
Samples: Underwriting Agreement (Achieve Life Sciences, Inc.), Underwriting Agreement (American Resources Corp), Underwriting Agreement (American Resources Corp)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesPreferred Shares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall will conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 21 contracts
Samples: Stock Purchase Agreement (Visualant Inc), Stock Purchase Agreement (Camber Energy, Inc.), Securities Purchase Agreement (Cemtrex Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 20 contracts
Samples: Stock Purchase Agreement (Eclips Energy Technologies, Inc.), Securities Purchase Agreement (Active Power Inc), Stock Purchase Agreement (Seattle Genetics Inc /Wa)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Securities will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 19 contracts
Samples: Underwriting Agreement (WaferGen Bio-Systems, Inc.), Underwriting Agreement (DelMar Pharmaceuticals, Inc.), Underwriting Agreement (Superconductor Technologies Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Offered Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 18 contracts
Samples: Underwriting Agreement (China Liberal Education Holdings LTD), Underwriting Agreement (VCI Global LTD), Underwriting Agreement (VCI Global LTD)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Public Securities will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 18 contracts
Samples: Underwriting Agreement (ENDRA Life Sciences Inc.), Underwriting Agreement (Cellect Biotechnology Ltd.), Underwriting Agreement (Therapix Biosciences Ltd.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 18 contracts
Samples: Securities Purchase Agreement (China Bak Battery Inc), Securities Purchase Agreement (Sutor Technology Group LTD), Securities Purchase Agreement (World Surveillance Group Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall will conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 17 contracts
Samples: Stock Purchase Agreement (Ascent Solar Technologies, Inc.), Common Stock Purchase Agreement (Uluru Inc.), Share Subscription Agreement (NewLead Holdings Ltd.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Exchange Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 17 contracts
Samples: Exchange Agreement (Electronic Cigarettes International Group, Ltd.), Exchange Agreement (Electronic Cigarettes International Group, Ltd.), Exchange Agreement (Intercloud Systems, Inc.)
Investment Company. The Company is not, and is not an Affiliate affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 16 contracts
Samples: Securities Purchase Agreement (Biohitech Global, Inc.), Securities Purchase Agreement (Protea Biosciences Group, Inc.), Securities Purchase Agreement (Protea Biosciences Group, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesUnderwritten Shares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 16 contracts
Samples: Underwriting Agreement (MED EIBY Holding Co., LTD), Underwriting Agreement (Leaping Group Co., Ltd.), Underwriting Agreement (WANG & LEE GROUP, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesUnits, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 16 contracts
Samples: Securities Purchase Agreement (NAKED BRAND GROUP LTD), Securities Purchase Agreement (Tian Ruixiang Holdings LTD), Securities Purchase Agreement (Synergy Pharmaceuticals, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.. 投资公司。在1940年投资公司法案定义下，公司现在不是投资公司或投资公司的关联方，在收到股票的支付后也不会成为投资公司或投资公司的关联方。公司应以一种使其不会成为需要注册的投资公司的方式经营业务。
Appears in 15 contracts
Samples: Securities Purchase Agreement (TD Holdings, Inc.), Securities Purchase Agreement (Bat Group, Inc.), Securities Purchase Agreement (Bat Group, Inc.)
Investment Company. The Company is not, and is not an Affiliate affiliate of, and immediately after receipt of payment for the Securities, Units will not be or be an Affiliate affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 14 contracts
Samples: Subscription Agreement (Drone Aviation Holding Corp.), Subscription Agreement (Majesco Entertainment Co), Registration Rights Agreement (Majesco Entertainment Co)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Firm Shares will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 14 contracts
Samples: Underwriting Agreement (BiondVax Pharmaceuticals Ltd.), Underwriting Agreement (Medigus Ltd.), Underwriting Agreement (BiondVax Pharmaceuticals Ltd.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesNotes, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 14 contracts
Samples: Note and Securities Purchase Agreement (PAVmed Inc.), Securities Purchase Agreement (NewAge, Inc.), Securities Purchase Agreement (usell.com, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The For so long as the Warrants remain outstanding, the Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 12 contracts
Samples: Securities Purchase Agreement (Check-Cap LTD), Securities Purchase Agreement (Bio-Path Holdings Inc), Securities Purchase Agreement (Bio-Path Holdings Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Firm Securities will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 10 contracts
Samples: Underwriting Agreement (Biolase, Inc), Underwriting Agreement (Biolase, Inc), Underwriting Agreement (Meten Holding Group Ltd.)
Investment Company. The Company is not, and is not an Affiliate affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 10 contracts
Samples: Securities Purchase Agreement (Galaxy Next Generation, Inc.), Securities Purchase Agreement (Pacer Health Corp), Securities Purchase Agreement (Locateplus Holdings Corp)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be registered or required to be an Affiliate of, registered as an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 10 contracts
Samples: Securities Purchase Agreement (Biolife Solutions Inc), Securities Purchase Agreement (Biolife Solutions Inc), Securities Purchase Agreement (Biolife Solutions Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become be an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 10 contracts
Samples: Securities Purchase Agreement (Bruush Oral Care Inc.), Securities Purchase Agreement (SinglePoint Inc.), Securities Purchase Agreement (Bruush Oral Care Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Securities will not be or be an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “"investment company” " subject to registration under the Investment Company Act of 1940, as amended.
Appears in 10 contracts
Samples: Underwriting Agreement (BT Brands, Inc.), Underwriting Agreement (Cel Sci Corp), Underwriting Agreement (OceanPal Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Securities will not be or be an Affiliate of, an “‘investment company” ’ within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become be an “‘investment company” ’ subject to registration under the Investment Company Act of 1940, as amended.
Appears in 9 contracts
Samples: Securities Purchase Agreement (Mitesco, Inc.), Securities Purchase Agreement (Elephant Oil Corp.), Securities Purchase Agreement (Paid Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares and Warrants, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 9 contracts
Samples: Securities Purchase Agreement (Nova Lifestyle, Inc.), Securities Purchase Agreement (Nile Therapeutics, Inc.), Securities Purchase Agreement (Pharmathene, Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securitiesshares of Series B Preferred Stock, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 8 contracts
Samples: Exchange Agreement (Phoenix Venture Fund LLC), Series B Preferred Stock Purchase Agreement (Phoenix Venture Fund LLC), Series B Preferred Stock Purchase Agreement (Phoenix Venture Fund LLC)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesCommon Shares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 8 contracts
Samples: Securities Purchase Agreement (Park National Corp /Oh/), Stock Purchase Agreement (Tri Valley Corp), Securities Purchase and Registration Rights Agreement (Cryoport, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares and Warrants, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 8 contracts
Samples: Securities Purchase Agreement (Insite Vision Inc), Securities Purchase Agreement (NeurogesX Inc), Securities Purchase Agreement (TearLab Corp)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares and Warrants, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 8 contracts
Samples: Securities Purchase Agreement (Document Security Systems Inc), Securities Purchase Agreement (Document Security Systems Inc), Securities Purchase Agreement (Celsion CORP)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not neither be or nor be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall will conduct its business in such a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 8 contracts
Samples: Securities Purchase Agreement (Bullion River Gold Corp), Securities Purchase Agreement (Bullion River Gold Corp), Securities Purchase Agreement (Bullion River Gold Corp)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, of an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 7 contracts
Samples: Securities Purchase Agreement (Nuwellis, Inc.), Securities Purchase Agreement (Nuwellis, Inc.), Securities Purchase Agreement (Accelerated Pharma, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not not, for as long as the Warrants remain outstanding, be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The For as long as the Warrants remain outstanding, the Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 7 contracts
Samples: Securities Purchase Agreement (CurrencyWorks Inc.), Securities Purchase Agreement, Securities Purchase Agreement (CurrencyWorks Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 7 contracts
Samples: Registration Rights Agreement (Biozone Pharmaceuticals, Inc.), Securities Purchase Agreement (MusclePharm Corp), Securities Purchase Agreement (Biozone Pharmaceuticals, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 7 contracts
Samples: Securities Purchase Agreement (Bioptix, Inc.), Securities Purchase Agreement (Bioptix, Inc.), Securities Purchase Agreement (Bioptix, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall shall, while the Notes are outstanding, conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 7 contracts
Samples: Securities Purchase Agreement (Force Protection Video Equipment Corp.), Securities Purchase Agreement (Force Protection Video Equipment Corp.), Securities Purchase Agreement (Force Protection Video Equipment Corp.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amendedAct. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Hythiam, Inc.), Securities Purchase Agreement (Hythiam Inc), Securities Purchase Agreement (Hythiam Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall currently intends to conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Adventrx Pharmaceuticals Inc), Securities Purchase Agreement (Adventrx Pharmaceuticals Inc), Securities Purchase Agreement (Adventrx Pharmaceuticals Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares and the Warrants, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Benitec Biopharma Inc.), Securities Purchase Agreement (Peraso Inc.), Securities Purchase Agreement (Ascent Solar Technologies, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall will conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Ascent Solar Technologies, Inc.), Securities Purchase Agreement (Ascent Solar Technologies, Inc.), Securities Purchase Agreement (Lucas Energy, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Softech Inc), Securities Purchase Agreement (Softech Inc), Securities Purchase Agreement (Softech Inc)
Investment Company. The Company is not, and is not an Affiliate affiliate of, and immediately after receipt of payment for the Securities, Securities will not be or be an Affiliate affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 6 contracts
Samples: Subscription Agreement (Hometown International, Inc.), Subscription Agreement (DiMi Telematics International, Inc.), Subscription Agreement (ProPhase Labs, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesNotes, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Fennec Pharmaceuticals Inc.), Convertible Note Purchase Agreement (Synova Healthcare Group Inc), Securities Purchase Agreement (Mri Interventions, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesSecurities and consummation of the Business Combination, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Securities Purchase Agreement (ZyVersa Therapeutics, Inc.), Securities Purchase Agreement (ZyVersa Therapeutics, Inc.), Securities Purchase Agreement (SHF Holdings, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securitiestransactions contemplated hereby, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Backstop Commitment Agreement (Reed's, Inc.), Backstop Commitment Agreement (Reed's, Inc.), Backstop Commitment Agreement (Reed's, Inc.)
Investment Company. The Company is not, and is not an Affiliate affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Common Stock Purchase Agreement (Kinderhook Partners, Lp), Underwriting Agreement (La Rosa Holdings Corp.), Common Stock Purchase Agreement (Patient Safety Technologies, Inc)
Investment Company. The Company Company, its Subsidiaries is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”). The Company Company, its Subsidiaries shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 5 contracts
Samples: Securities Purchase Agreement (White River Energy Corp.), Securities Purchase Agreement (White River Energy Corp.), Securities Purchase Agreement (White River Energy Corp.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesOffered Shares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Underwriting Agreement (China Eco-Materials Group Co. LTD), Underwriting Agreement (American BriVision (Holding) Corp), Warrant Agreement (Golden Metropolis International LTD)
Investment Company. The Company Company, its Subsidiaries is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company Company, its Subsidiaries shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Curative Biotechnology Inc), Securities Purchase Agreement (Jupiter Neurosciences, Inc.), Securities Purchase Agreement (Curative Biotechnology Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “"investment company” " subject to registration under the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Top Ships Inc.), Securities Purchase Agreement (Cytrx Corp), Securities Purchase Agreement (Top Ships Inc.)
Investment Company. The Company is not, and is not an Affiliate affiliate of, and immediately after receipt of payment for the Securities, Preferred Shares will not neither be or nor be an Affiliate affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Alzamend Neuro, Inc.), Securities Purchase Agreement (RiskOn International, Inc.), Securities Purchase Agreement (Ault Alliance, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securitiesshares of Series C Preferred Stock, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Communication Intelligence Corp), Series C Preferred Stock Purchase Agreement (Prides Capital Partners, LLC), Series C Preferred Stock Purchase Agreement (Princeton Review Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesDebenture, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall will conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Beyond Commerce, Inc.), Securities Purchase Agreement (Beyond Commerce, Inc.), Securities Purchase Agreement (Cleanspark, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Closing Securities will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Underwriting Agreement (IsoRay, Inc.), Underwriting Agreement (Cesca Therapeutics Inc.), Underwriting Agreement (IsoRay, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Shares will not be be, or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall shall, during the period set forth in Section 4.10(a), conduct its business in a manner so that it will not become an “investment company” subject to the registration under the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Share Purchase Agreement (Sintx Technologies, Inc.), Share Purchase Agreement (Sintx Technologies, Inc.), Share Purchase Agreement (Sintx Technologies, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesExchange Security, will not be or be an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “"investment company” " subject to registration under the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Exchange Agreement (Rocky Mountain High Brands, Inc.), Exchange Agreement (Rocky Mountain High Brands, Inc.), Exchange Agreement (Rocky Mountain High Brands, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Securities will not be or be an Affiliate ofbe, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The While any Securities remain outstanding, other than with the consent of the Purchasers, the Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Securities Purchase Agreement (180 Life Sciences Corp.), Securities Purchase Agreement (180 Life Sciences Corp.), Securities Purchase Agreement (Meta Materials Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.as
Appears in 4 contracts
Samples: Securities Purchase Agreement (Allena Pharmaceuticals, Inc.), Common Stock Purchase Agreement (Synta Pharmaceuticals Corp), Stock Purchase Agreement (HTG Molecular Diagnostics, Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares and Preferred Stock, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Form of Securities Purchase Agreement (Spherix Inc), Securities Purchase Agreement (Superconductor Technologies Inc), Form of Securities Purchase Agreement (Spherix Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedas.
Appears in 4 contracts
Samples: Underwriting Agreement (ADiTx Therapeutics, Inc.), Underwriting Agreement (ADiTx Therapeutics, Inc.), Underwriting Agreement (ADiTx Therapeutics, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesNote, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall will conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 4 contracts
Samples: Purchase Agreement (Generex Biotechnology Corp), Note Purchase Agreement (Inception Mining Inc.), Note Purchase Agreement (Inception Mining Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall currently intends to conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 4 contracts
Samples: The Market Offering Agreement (Cavico Corp), Controlled Equity Offering Agreement (Apricus Biosciences, Inc.), Terms Agreement (Netlist Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesWarrants, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Freight Technologies, Inc.), Securities Purchase Agreement (Innovate Biopharmaceuticals, Inc.), Securities Purchase Agreement (Freight Technologies, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Subscription Securities will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Share Subscription Agreement (Joy Capital Opportunity, L.P.), Share Subscription Agreement (Eve One Fund II L.P.), Share Subscription Agreement (Uxin LTD)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate ofrequired to file as, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in amended within a manner so that it will not become an “investment company” subject to registration under period of one year from the Investment Company Act of 1940, as amendeddate hereof.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Regenicin, Inc.), Securities Purchase Agreement (Confederate Motors, Inc.), Subscription Agreement (Montalvo Spirits, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall will conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Bullion River Gold Corp), Securities Purchase Agreement (Bullion River Gold Corp), Purchase Agreement (POSITIVEID Corp)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall will conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Lebow Bennett S), Securities Purchase Agreement (Borders Group Inc), Stock Purchase Agreement (Nephros Inc)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be required to register as an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become be required to register as an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Aytu Bioscience, Inc), Securities Purchase Agreement (Aytu Bioscience, Inc), Securities Purchase Agreement (Aytu Bioscience, Inc)
Investment Company. The Company is not, and is not an Affiliate of, and and, immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Neogenomics Inc), Securities Purchase Agreement (Jesup & Lamont, Inc.), Securities Purchase Agreement (Empire Financial Holding Co)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of required to register under the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Arcadia Biosciences, Inc.), Securities Purchase Agreement (Arcadia Biosciences, Inc.), Securities Purchase Agreement (Arcadia Biosciences, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall shall, while the Debentures are outstanding, conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Windstream Technologies, Inc.), Securities Purchase Agreement (Medbox, Inc.), Securities Purchase Agreement (Vapor Corp.)
Investment Company. The Company is not, and is not an Affiliate affiliate of, and immediately after receipt of payment for the Securities, Notes will not be or be an Affiliate affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amendedAct.
Appears in 3 contracts
Samples: Note Purchase Agreement (Optex Systems Holdings Inc), Subscription Agreement (Grom Social Enterprises, Inc.), Subscription Agreement (Grom Social Enterprises, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (MediWound Ltd.), Securities Purchase Agreement (MediWound Ltd.), Securities Purchase Agreement (MediWound Ltd.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall use its commercially reasonable efforts to conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Rocketfuel Blockchain, Inc.), Securities Purchase Agreement (Rocketfuel Blockchain, Inc.), Securities Purchase Agreement (Rocketfuel Blockchain, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesUnits, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Taoping Inc.), Securities Purchase Agreement (FMC GlobalSat Holdings, Inc.), Subscription Agreement (Innovive Pharmaceuticals, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesPurchased Units, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase and Registration Rights Agreement (AIT Therapeutics, Inc.), Securities Purchase and Registration Rights Agreement (AIT Therapeutics, Inc.), Securities Purchase and Registration Rights Agreement (AIT Therapeutics, Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Oramed Pharmaceuticals Inc.), Securities Purchase Agreement (Oramed Pharmaceuticals Inc.), Securities Purchase Agreement (Oramed Pharmaceuticals Inc.)
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares as described in the Registration Statement and the Prospectuses, will not be or be an Affiliate of, an “investment company” within the meaning of the United States Investment Company Act of 1940, as amended. The Company shall currently intends to conduct its business in a manner so that it will not become an “investment company” subject to registration under the United States Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Market Offering Agreement (Digihost Technology Inc.), Market Offering Agreement (Bitfarms LTD), Bitfarms LTD
