Investment Company. The Company is not, and neither the offer or sale of the Shares nor any of the activities of the Company will cause the Company to be, an “investment company” or under the control of an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 98 contracts
Samples: Exclusive Dealer Manager Agreement (American Realty Capital Healthcare Trust Inc), Exclusive Dealer Manager Agreement (American Realty Capital - Retail Centers of America, Inc.), Exclusive Dealer Manager Agreement (American Realty Capital Hospitality Trust, Inc.)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Securities, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the Investment Company Act of 1940, as amended.
Appears in 62 contracts
Samples: Securities Purchase Agreement (Soleno Therapeutics Inc), Securities Purchase Agreement (Advancis Pharmaceutical Corp), Securities Purchase Agreement (Momentus Inc.)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any Purchased Shares, the consummation of the activities Offering and the application of the Company proceeds hereof and thereof, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the U.S. Investment Company Act of 1940, as amended.
Appears in 37 contracts
Samples: Subscription Agreement (eHi Car Services LTD), Subscription Agreement (eHi Car Services LTD), Subscription Agreement (Futu Holdings LTD)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Shares, will cause the Company to be, an “investment company” or under the control of not be an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 30 contracts
Samples: Common Stock Purchase Agreement (Cytokinetics Inc), Common Stock Purchase Agreement (Cytokinetics Inc), Securities Purchase Agreement (Hudson Executive Capital LP)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Securities, will cause the Company to be, an “investment company” or under the control of not be an “investment company” as such terms are term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”). The Company shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 25 contracts
Samples: Securities Purchase Agreement (Acadia Pharmaceuticals Inc), Securities Purchase Agreement (Columbia Laboratories Inc), Securities Purchase Agreement (Orexigen Therapeutics, Inc.)
Investment Company. The Company is not, and neither the offer or sale of the Shares Units nor any of the activities of the Company will cause the Company to be, an “investment company” or under the control of an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 13 contracts
Samples: Exclusive Dealer Manager Agreement (American Energy Capital Partners, LP), Dealer Manager Agreement (Investment Grade R.E. Income Fund, L.P.), Dealer Manager Agreement (GWG Holdings, Inc.)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Shares, will cause the Company to be, an “investment company” or under the control of not be an “investment company” as such terms are term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”). The Company shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 12 contracts
Samples: Stock Purchase Agreement (Memory Pharmaceuticals Corp), Securities Purchase Agreement (Fuelcell Energy Inc), Securities Purchase Agreement (FB Financial Corp)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Securities, will cause the Company to be, an “investment company” or under the control of not be an “investment company” as such terms are term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”). The Company has no commitments or plans with respect to operating its business that would cause it to become subject to the Investment Company Act.
Appears in 11 contracts
Samples: Securities Purchase Agreement (Puissance Cross-Border Opportunities v LLC), Securities Purchase Agreement (Yuma Regional Medical Center), Securities Purchase Agreement (Tracon Pharmaceuticals, Inc.)
Investment Company. The Company is notnot and, after giving effect to the issuance and neither the offer or sale of the Shares nor any Purchased Shares, the consummation of the activities issuance and sale and the application of the Company proceeds hereof and thereof, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the U.S. Investment Company Act of 1940, as amended.
Appears in 9 contracts
Samples: Subscription Agreement (BHR Winwood Investment Management LTD), Subscription Agreement (Tuniu Corp), Subscription Agreement (JD.com, Inc.)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any Purchased Shares, the consummation of the activities Offering and the application of the Company proceeds hereof thereof, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the U.S. Investment Company Act of 1940, as amended.
Appears in 8 contracts
Samples: Subscription Agreement (Chindata Group Holdings LTD), Subscription Agreement (Secoo Holding LTD), Subscription Agreement (Sungy Mobile LTD)
Investment Company. The Company is not, and neither the offer or sale of the Common Shares nor any of the activities of the Company will cause the Company to be, an “investment company” or under the control of an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 8 contracts
Samples: Dealer Manager Agreement (Lightstone Real Estate Income Trust Inc.), Dealer Manager Agreement (Lightstone Value Plus Real Estate Investment Trust III, Inc.), Dealer Manager Agreement (United Realty Trust Inc)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any Subscription Shares, the consummation of the activities Offering and the application of the Company proceeds hereof thereof, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the U.S. Investment Company Act of 1940, as amended.
Appears in 7 contracts
Samples: Subscription Agreement (JD.com, Inc.), Subscription Agreement (Bitauto Holdings LTD), Share Purchase and Subscription Agreement (E-House (China) Holdings LTD)
Investment Company. The Company is not, and neither the offer or sale of the Shares Units nor any of the activities of the Company will cause the Company to be, an “investment company” or under the control of an “investment company” ”, as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Dealer Manager Agreement (Preferred Apartment Communities Inc), Dealer Manager Agreement (Preferred Apartment Communities Inc), Management Agreement (Preferred Apartment Communities Inc)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any Securities and the application of the activities of the Company net proceeds thereof, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Backstop Commitment Purchase Agreement (Delcath Systems, Inc.), Backstop Commitment Purchase Agreement (Delcath Systems, Inc.), Backstop Commitment Purchase Agreement (Delcath Systems, Inc.)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Shares, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Sonim Technologies Inc), Subscription Agreement (Usa Technologies Inc), Securities Purchase Agreement (Sonim Technologies Inc)
Investment Company. The Company is not, and neither upon the offer or issuance and sale of the Preferred Shares nor any of the activities of the Company as herein contemplated will cause the Company to not be, an “"investment company” " or under the control of an “Entity "controlled" by an "investment company” " as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Investment Agreement (Pacific Gulf Properties Inc), Investment Agreement (Pacific Gulf Properties Inc), Investment Agreement (Lexington Corporate Properties Inc)
Investment Company. The Company is not, not and neither after giving effect to the offer or sale of the Shares nor any of the activities of the Company will cause the Company to be, not be an “investment company” or under the control of an entity “controlled” by an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Common Stock Purchase Agreement (Paid Inc), Securities Purchase Agreement (Disaboom, Inc.), Common Stock Purchase Agreement (Pacific Continental Corp)
Investment Company. The Company is not, and neither after giving effect to the offer or and sale of the Preferred Shares nor any of the activities of the Company will cause the Company to not be, an “investment company” or under the control of an “investment company” ”, as such terms are term is defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Dealer Manager Agreement (Creative Media & Community Trust Corp), Dealer Manager Agreement (CIM Commercial Trust Corp), Dealer Manager Agreement (Creative Media & Community Trust Corp)
Investment Company. The Company is not, and neither will not be, after giving effect to the offer or and sale of the Shares nor any of the activities of the Company will cause the Company Issued Shares, (a) required to be, register as an “investment company” or under (within the control meaning of an “investment company” as such terms are defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”)) or (b) a “business development company” (as defined in Section 2(a)(48) of the Investment Company Act).
Appears in 3 contracts
Samples: Securities Purchase Agreement (ADT Inc.), Securities Purchase Agreement (ADT Inc.), Stock Purchase Agreement (American Well Corp)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Shares, will cause the Company to be, not be an “investment company” or under or, to the control of Company’s knowledge, an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended.Act
Appears in 3 contracts
Samples: Underwriting Agreement (Bioheart, Inc.), Underwriting Agreement (Bioheart, Inc.), Underwriting Agreement (Bioheart, Inc.)
Investment Company. The Neither the Company is notnor any of its subsidiaries is, and, after giving effect to the offering and neither the offer or sale of the Shares nor any Securities and the application of the activities of the Company proceeds thereof, will cause the Company to not be, required to register as an “investment company” or under the control of an “entity controlled by an investment company” company as such terms are term is defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Purchase Agreement (Pliant Corpororation), Purchase Agreement (I2 Technologies Inc), Purchase Agreement (I2 Technologies Inc)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Shares, will cause the Company to be, an “investment company” or under the control of not be an “investment company” as such terms are term is defined in the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Acorda Therapeutics Inc), Securities Purchase Agreement (EPIX Pharmaceuticals, Inc.), Securities Purchase Agreement (Acorda Therapeutics Inc)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Shares, will cause the Company to not be, an “investment company” or under the control of an entity “controlled” by an “investment company” , as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Puma Biotechnology, Inc.), Securities Purchase Agreement (Obalon Therapeutics Inc)
Investment Company. The Company is notnot and, after giving effect to the Offering and neither the offer or sale of the Shares nor any of the activities of the Company Shares, will cause the Company to be, an “investment company” or under the control of not be an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Common Stock Purchase Agreement (Modular Medical, Inc.), Common Stock Purchase Agreement (Modular Medical, Inc.)
Investment Company. The Company is not, and neither upon the offer or issuance and sale of the Shares nor any as herein contemplated and the application of the activities of the Company net proceeds therefrom will cause the Company to not be, an “"investment company” " or under the control of an “entity "controlled" by an "investment company” " as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Common Stock Purchase Agreement (Corvas International Inc), Common Stock Purchase Agreement (Corvas International Inc)
Investment Company. The Company is not, not and neither after giving effect to the offer or sale of the Shares nor any of the activities of the Company will cause the Company to be, not be an “"investment company” " or under the control of an “entity "controlled" by an "investment company” " as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Stock Purchase Agreement (Unifab International Inc), Stock Purchase Agreement (Unifab International Inc)
Investment Company. The Company is notnot and, and neither after giving effect to the offer or and sale of the Shares nor any of the activities of the Company Units, will cause the Company to be, not be an “investment company” or under the control of an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Underwriting Agreement (Zion Oil & Gas Inc), Underwriting Agreement (Zion Oil & Gas Inc)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any and the application of the activities of the Company net proceeds thereof, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Quest Resource Holding Corp), Placement Agency Agreement (Quest Resource Holding Corp)
Investment Company. The Company is not, and neither upon the offer or issuance and sale of the Preferred Shares nor any of the activities of the Company and Warrant as herein contemplated will cause the Company to not be, an “"investment company” " or under the control of an “Entity "controlled" by an "investment company” " as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Investment Agreement (Five Arrows Realty Securities L L C), Investment Agreement (Brandywine Realty Trust)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Shares, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the Investment Company Act of 1940, as amended, and will not be an entity “controlled” by an “investment company” within the meaning of such Act.
Appears in 2 contracts
Samples: Agency Agreement (Aradigm Corp), Agency Agreement (Aradigm Corp)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale issuance of the Shares nor any of the activities of the Company Shares, will cause the Company to be, an “investment company” or under the control of not be an “investment company” as such terms are term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”). The Company shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Securities Subscription Agreement (Amarin Corp Plc\uk), Securities Subscription Agreement (Amarin Corp Plc\uk)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any Purchased Shares, the consummation of the activities offer and the application of the Company proceeds hereof and thereof, will cause the Company to be, an “investment company” or under the control of not be an “investment company” as such terms are term is defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Subscription Agreement (Valueone Inc), Subscription Agreement (Valueone Inc)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any Purchased Shares, the consummation of the activities offering and the application of the Company proceeds hereof, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the U.S. Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Share Purchase Agreement (Secoo Holding LTD), Share Purchase Agreement (Qudian Inc.)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Units, will cause the Company to be, an “investment company” or under the control of not be an “investment company” as such terms are term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”). The Company shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Saratoga Resources Inc /Tx), Securities Purchase Agreement (Saratoga Resources Inc /Tx)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any and the application of the activities of the Company proceeds thereof, will cause the Company to be, not be an “investment company” or under the control of a company “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Stock Purchase Agreement (Spirit Finance Corp), Stock Purchase Agreement (Puget Energy Inc /Wa)
Investment Company. The Company is not, not and neither after giving effect to the offer or sale of the Shares nor any of the activities of the Company and Warrant Shares will cause the Company to be, not be an “"investment company” " or under the control of an “entity "controlled" by an "investment company” " as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Stock Purchase Agreement (Good Guys Inc), Stock and Warrant Purchase Agreement (Good Guys Inc)
Investment Company. The Company is not, and neither after giving effect to the offer or offering and sale of the Shares nor any and the application of the activities net proceeds from the sale of the Company Shares, will cause the Company to be, an “investment company” or under the control of not be an “investment company” as such terms are defined in Section 3(a) of the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 2 contracts
Samples: Underwriting Agreement (Agenus Inc), Underwriting Agreement (Agenus Inc)
Investment Company. The Company is notnot and, and neither after giving effect to the offer or and sale of the Shares nor any of the activities of the Company Shares, will cause the Company to be, not be an “investment company” or under the control of an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: NeoStem, Inc., NeoStem, Inc.
Investment Company. The Company is not, and neither the offer or sale of the Shares nor any of the activities of the Company will cause the Company to be, an ““ investment company” or under the control of an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Exclusive Dealer Manager Agreement (American Realty Capital Daily Net Asset Value Trust, Inc.), Exclusive Dealer Manager Agreement (RCS Capital Corp)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any and the application of the activities of the Company proceeds thereof, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: South Financial (South Financial Group Inc), Purchase Agreement (South Financial Group Inc)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company will cause the Company to not be, an “investment company” or under the control of an entity “controlled” by an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Form of Purchase Agreement (New York Mortgage Trust Inc)
Investment Company. The Company is notnot and, and neither after giving effect to the offer or and sale of the Shares nor any of the activities of the Company Shares, will cause the Company to be, not be an “"investment company” " or under the control of an “entity "controlled" by an "investment company” ," as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Public Offering Underwriting Agreement (China Agri-Business, Inc.)
Investment Company. The Company is not, and neither after the offer or sale of the Shares nor any under the Agreements and the application of the activities of the Company net proceeds from such sales will cause the Company to not be, an “"investment company” " or under the control of an “entity "controlled" by an "investment company” as such terms are defined in " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Stock Purchase Agreement (Ciber Inc)
Investment Company. The Company is not, and neither upon the offer or ------------------- issuance and sale of the Preferred Shares nor any of the activities of the Company as herein contemplated will cause the Company to not be, an “"investment company” " or under the control of an “Entity "controlled" by an "investment company” " as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Investment Agreement (Five Arrows Realty Securities L L C)
Investment Company. The Company is not, and neither after giving effect to the offer or offering and sale of the Company Shares nor any and the application of the activities of the Company proceeds thereof, will cause the Company to be, an “investment company” or under the control of not be an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Common Stock Purchase Agreement (Chaparral Energy, Inc.)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Shares, will cause the Company to be, an “investment company” or under the control of not be an “investment company” as such terms are term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 1 contract
Samples: Securities Purchase Agreement (Business First Bancshares, Inc.)
Investment Company. The Company is not, and neither the offer or sale of the Shares nor any of the activities of the Company will cause the Company to be, an “investment company” or under the control of an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Exclusive Dealer Manager Agreement (Grubb & Ellis Healthcare REIT, Inc.)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any and the receipt of the activities of the Company proceeds contemplated herein, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, and neither the offer or sale upon consummation of the Shares nor any of the activities of the Company transactions contemplated hereby will cause the Company to not be, an “"investment company” " or under the control of an “entity "controlled" by an "investment company” ," as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is notnot and, after ------------------ giving effect to the offering and neither the offer or sale of the Shares nor any Purchased Securities and the application of the activities of the Company proceeds thereof, will cause the Company to be, not be an “"investment company” " or under the control of a company "controlled" by an “"investment company” ," as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Stock Purchase Agreement (Duquesne Light Holdings Inc)
Investment Company. The Company is notnot and, after giving effect to the Offering and neither the offer or sale of the Shares nor any of the activities of the Company Securities, will cause the Company to be, an “investment company” or under the control of not be an “investment company” as such terms are term is defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”). The Company shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Samples: Securities Purchase Agreement (Orexigen Therapeutics, Inc.)
Investment Company. The Company is not, and neither the offer or sale of the Shares Preferred Stock nor any of the activities of the Company will cause the Company to be, an “investment company” or under the control of an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Dealer Manager Agreement (Preferred Apartment Communities Inc)
Investment Company. The Company is not, and neither after giving effect to the offer or offering and sale of the Purchased Shares nor any and the Warrants and the application of the activities of the Company proceeds thereof, will cause the Company to not be, an “investment company” or under the control of a company “controlled” by an “investment company” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (McDermott International Inc)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any and the application of the activities of the Company proceeds thereof, will cause the Company to not be, an “investment company” or under the control of an “investment company” as such terms are term is defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Terms Agreement (PHX Minerals Inc.)
Investment Company. The Neither the Company is notnor any of its subsidiaries is, and, after giving effect to the offering and neither the offer or sale of the Shares nor any Securities and the application of the activities of the Company proceeds thereof, will cause the Company to not be, required to register as an “"investment company” " or under the control of an “entity controlled by an investment company” company as such terms are term is defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any to be sold by it and the application of the activities of the Company proceeds thereof, will cause the Company to not be, an “investment company” or under the control of an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 1 contract
Samples: Securities Purchase Agreement (Patriot National, Inc.)
Investment Company. The Company is not, and neither the offer or sale of the Shares Units nor any of the activities of the Company will cause the Company to be, an “investment company” or under the control of an “investment company” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Dealer Manager Agreement (Stratstone/Bluegreen Secured Income Fund, LLC)
Investment Company. The Company is not, and neither after the offer or sale of the Shares nor any under the Agreements and the application of the activities of the Company net proceeds from such sales will cause the Company to not be, an “investment company” or under the control of an entity “controlled” by an “investment company” as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Shares, will cause the Company to not be, an “investment company” or under the control of an entity “controlled” by an “investment company,” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Puma Biotechnology, Inc.)
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Shares, will cause the Company to be, not be an “"investment company” or under the control of an “investment company” " as such terms are term is defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement Signature Page (Euronet Worldwide Inc)
Investment Company. The Company is not, and neither after giving effect to the offer or offering and sale of the Shares nor any and the application of the activities of the Company proceeds thereof, will cause the Company to be, not be an “"investment company” or under the control of an “investment company” " as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Common Share Purchase Agreement (Gastar Exploration LTD)
Investment Company. The Company is not, and neither after giving effect to the offer or offering and sale of the Shares nor any of the activities of the Company Shares, will cause the Company to not be, an “"investment company” " or under the control of a company "controlled by" an “"investment company” ," each as such terms are defined in the Investment Company Act of 1940, as amendedamended (the "Investment Company Act").
Appears in 1 contract
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any Company Shares, the consummation of the activities Offering and the application of the Company proceeds hereof and thereof, will cause the Company to be, not be an “investment company” or under the control of an “investment company,” as such terms are term is defined in the U.S. Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is notnot and, after giving effect to the offering and neither the offer or sale of the Shares nor any of the activities of the Company Shares, will cause the Company to be, not be an “"investment company” or under the control of an “investment company” " as such terms are term is defined in the Investment Company Act of 1940, as amendedamended (the "Investment Company Act"). The Company shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Samples: Securities Purchase Agreement (Fuelcell Energy Inc)
