Investment Company. The Company is not, and immediately after receipt of payment for the Securities will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 164 contracts
Samples: Purchase Agreement (Amarantus Bioscience Holdings, Inc.), Purchase Agreement (Cytori Therapeutics, Inc.), Purchase Agreement (Helius Medical Technologies, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Securities, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 40 contracts
Samples: Securities Purchase Agreement (NeuroSense Therapeutics Ltd.), Securities Purchase Agreement (Biosante Pharmaceuticals Inc), Securities Subscription Agreement (Marshall Edwards Inc)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Purchase Shares will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 24 contracts
Samples: Purchase Agreement (Obalon Therapeutics Inc), Purchase Agreement (Obalon Therapeutics Inc), Purchase Agreement (Processa Pharmaceuticals, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Securities, will not be, 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 21 contracts
Samples: Securities Purchase Agreement (CYREN Ltd.), Securities Purchase Agreement (Emisphere Technologies Inc), Securities Purchase Agreement (Geoglobal Resources Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities will not be, 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: Securities Purchase Agreement (Iterum Therapeutics PLC), Securities Purchase Agreement (Cellectar Biosciences, Inc.), Securities Purchase Agreement (Iterum Therapeutics PLC)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Securities, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 14 contracts
Samples: Securities Purchase Agreement (Professional Diversity Network, Inc.), Stock and Warrant Purchase Agreement (Paulson & Co Inc), Securities Purchase Agreement (Professional Diversity Network, Inc.)
Investment Company. The Company is notnot and, and immediately after receipt of payment for the Securities Securities, will not be, be 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 13 contracts
Samples: Securities Purchase Agreement (Flora Growth Corp.), Securities Purchase Agreement (Neptune Wellness Solutions Inc.), Securities Purchase Agreement (Neptune Wellness Solutions Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for giving effect to the Securities Transactions will not be, an “investment company” within the meaning of as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 12 contracts
Samples: Securities Purchase Agreement (Phoenix Footwear Group Inc), Investment Agreement (First Albany Companies Inc), Investment Agreement (Gleacher & Company, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares and Warrants, will not be, be or be 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 subject to the Investment Company Act of 1940, as amended.
Appears in 12 contracts
Samples: Securities Purchase Agreement (Delcath Systems, Inc.), Securities Purchase Agreement (Raptor Pharmaceutical Corp), Securities Purchase Agreement (Blue Ridge Bankshares, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 12 contracts
Samples: Purchase Agreement (Conformis Inc), Purchase Agreement (Cardiome Pharma Corp), Purchase Agreement (Kempharm, Inc)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares and Warrants, will not be, be 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 subject to the Investment Company Act of 1940, as amended.
Appears in 12 contracts
Samples: Securities Purchase Agreement (Aveo Pharmaceuticals Inc), Securities Purchase Agreement (Mri Interventions, Inc.), Securities Purchase Agreement (Anthera Pharmaceuticals Inc)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amendedAct.
Appears in 10 contracts
Samples: Securities Purchase Agreement (Cell Therapeutics Inc), Securities Purchase Agreement (Cell Therapeutics Inc), Subscription Agreement (Anthera Pharmaceuticals Inc)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 9 contracts
Samples: Subscription Agreement (MusclePharm Corp), Form of Subscription Agreement (MusclePharm Corp), Form of Subscription Agreement (MusclePharm Corp)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares and Warrants, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 9 contracts
Samples: Subscription Agreement (ARCA Biopharma, Inc.), Subscription Agreement (ARCA Biopharma, Inc.), Subscription Agreement (Atlas Venture Fund VII L P)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares, will not be, be or be 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 subject to the Investment Company Act of 1940, as amended.
Appears in 7 contracts
Samples: Securities Purchase Agreement (Tranzyme Inc), Securities Purchase Agreement (OncoMed Pharmaceuticals Inc), Securities Purchase Agreement (Veracyte, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares, will not be, be 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 subject to the Investment Company Act of 1940, as amended.
Appears in 7 contracts
Samples: Securities Purchase Agreement (Fate Therapeutics Inc), Stock Purchase Agreement (Fate Therapeutics Inc), Stock Purchase Agreement (Fate Therapeutics Inc)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Securities, will not be, be 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 (Mogo Inc.), Securities Purchase Agreement (Cerecor Inc.), Securities Purchase Agreement (AgEagle Aerial Systems Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 7 contracts
Samples: Underwriting Agreement (Global Self Storage, Inc.), Stock Purchase Agreement (Kingsway Financial Services Inc), Securities Purchase Agreement (PLBY Group, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares will not be, an “investment company” or an “affiliated person” of, or “promoter” or “principal underwriter” for an investment company, within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission promulgated thereunder.
Appears in 6 contracts
Samples: Stock Purchase Agreement (Crinetics Pharmaceuticals, Inc.), Stock Purchase Agreement (Krystal Biotech, Inc.), Stock Purchase Agreement (Gossamer Bio, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities will not be, an “investment company” or an “affiliated person” of, or “promoter” or “principal underwriter” for an investment company, within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission promulgated thereunder.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Nektar Therapeutics), Securities Purchase Agreement (Avidity Biosciences, Inc.), Securities Purchase Agreement (CervoMed Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Securities, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended. As long as the Warrants remain outstanding, the Company shall use its reasonable best 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 5 contracts
Samples: Securities Purchase Agreement (Virpax Pharmaceuticals, Inc.), Securities Purchase Agreement (Aspira Women's Health Inc.), Securities Purchase Agreement (Aspira Women's Health Inc.)
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities Securities, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Underwriting Agreement (Ceres, Inc.), Underwriting Agreement (Ceres, Inc.), Securities Purchase Agreement (Ceres, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Securities, will not be, 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” or an “affiliated person” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Eos Energy Enterprises, Inc.), Securities Purchase Agreement (Amyris, Inc.), Securities Purchase Agreement (Eos Energy Enterprises, Inc.)
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities Securities, will not be, 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 (TOP Financial Group LTD), Securities Purchase Agreement (Arqit Quantum Inc.), Securities Purchase Agreement (Arqit Quantum Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares and Warrants, will not be, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Epicept Corp, Epicept Corp, Epicept Corp
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Securities, will not be, be an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Security Purchase and Tender Offer Agreement (General Employment Enterprises Inc), Securities Purchase Agreement (Epicept Corp), Securities Purchase Agreement (Epicept Corp)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Public Securities, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Underwriting Agreement (Chromocell Therapeutics Corp), Underwriting Agreement (Chromocell Therapeutics Corp), Underwriting Agreement (Chromocell Therapeutics Corp)
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Alimera Sciences Inc), Securities Purchase Agreement (Alimera Sciences Inc), Securities Purchase Agreement (In8bio, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Securities, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended. As long as the Pre-Funded Warrants remain outstanding, the Company shall use its reasonable best 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 (Aspira Women's Health Inc.), Securities Purchase Agreement (Talphera, Inc.), Securities Purchase Agreement (Talphera, Inc.)
Investment Company. The Company is not, and immediately after the receipt of payment for the Securities proceeds from the sale of the Shares hereunder will not be, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Preferred Stock Purchase Agreement (Avenue a Inc), Preferred Stock Purchase Agreement (Par Pharmaceutical Companies, Inc.), Series B Preferred Stock Purchase Agreement (Flashcom Inc)
Investment Company. The Company is not, and immediately after receipt of payment the payments for the Securities Shares will not be, an “investment company” within the meaning of such term under the Investment Company Act of 1940, as amended1940 and the rules and regulations of the SEC thereunder.
Appears in 3 contracts
Samples: Stock Purchase Agreement (Conceptus Inc), Stock Purchase Agreement (Conceptus Inc), Stock Purchase Agreement (Conceptus Inc)
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities Shares, will not be, 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 (Arqit Quantum Inc.), Securities Purchase Agreement (Great Ajax Corp.), Securities Purchase Agreement (Ellington Financial Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Notes and Warrants, will not be, be 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 subject to the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Tengion Inc), Securities Purchase Agreement (Tengion Inc), Securities Purchase Agreement (Mri Interventions, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Purchase Price will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Convertible Note Purchase Agreement (Global Seed Corp), Convertible Note Purchase Agreement (Gridsum Holding Inc.), Convertible Note Purchase Agreement (FutureX Innovation SPC)
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities Securities, and application of the proceeds as contemplated hereunder, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Outlook Therapeutics, Inc.), Securities Purchase Agreement (Outlook Therapeutics, Inc.), Securities Purchase Agreement (Outlook Therapeutics, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amendedAct.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Mastech Digital, Inc.), Subscription Agreement (ExOne Co), Securities Purchase Agreement (Mastech Digital, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Securities, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended.. Cell Therapeutics, Inc.
Appears in 3 contracts
Samples: Cell Therapeutics Inc, Cell Therapeutics Inc, Cell Therapeutics Inc
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Securities, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amendedAct.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Cell Therapeutics Inc), Securities Purchase Agreement (Cell Therapeutics Inc), Securities Purchase Agreement (Cell Therapeutics Inc)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities will not be, an “investment company” within or a company that is “controlled” by an “investment company” as such terms are defined in the meaning 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 (Mawson Infrastructure Group Inc.), Securities Purchase Agreement (Mawson Infrastructure Group Inc.), Securities Purchase Agreement (Mawson Infrastructure Group Inc.)
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement, Securities Purchase Agreement, Securities Purchase Agreement (VIQ Solutions Inc.)
Investment Company. The Company is notnot and, and immediately after receipt of payment for the Securities Shares and Warrants, will not be, be 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 subject to the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Q BioMed Inc.), Securities Purchase Agreement (Q BioMed Inc.)
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities will not be, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (FSD Pharma Inc.), Securities Purchase Agreement (FSD Pharma Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities will not beSecurities, 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 2 contracts
Samples: Securities Purchase Agreement (Kartoon Studios, Inc.), Securities Purchase Agreement (RVL Pharmaceuticals PLC)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares, will not be, 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 2 contracts
Samples: Securities Purchase Agreement (EverQuote, Inc.), Securities Purchase Agreement (Senseonics Holdings, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities proceeds from issuance of the Notes will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Convertible Note Purchase Agreement (Pacific Alliance Group LTD), Convertible Note Purchase Agreement (LexinFintech Holdings Ltd.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Subscriber Shares, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Subscription Agreement (CF Acquisition Corp. VI), Operating Agreement (EG Acquisition Corp.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities will not be, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Purchase Agreement (Cannapharmarx, Inc.), Purchase Agreement (Galaxy Next Generation, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares will not be, an “investment company” within the meaning of the United States Investment Company Act of 1940, as amended. The Company currently intends to conduct its business in a manner so that it will not be required to register as an “investment company” under the United States Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Draganfly Inc.), Equity Distribution Agreement
Investment Company. The Company is not, and immediately after receipt of payment for the Securities giving effect to any Advance will not be, an “"investment company” " within the meaning of the United States Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Credit Agreement (Cordant Technologies Inc), Credit Agreement (Cordant Technologies Inc)
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities Securities, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company has conducted its business in a manner so that it is not an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Toughbuilt Industries, Inc), Securities Purchase Agreement (Toughbuilt Industries, Inc)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Securities, will not be, be 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 subject to the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Gemphire Therapeutics Inc.), Securities Purchase Agreement (Wheeler Real Estate Investment Trust, Inc.)
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities Acquired Shares will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Investment Agreement (Synchron), Investment Agreement (Rare Element Resources LTD)
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities Shares will not be, be an “investment company” within the meaning of 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: Subscription Agreement (Viridian Therapeutics, Inc.\DE)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares, will not be, an “investment company” within the meaning of such term under the U.S. Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 1 contract
Samples: Stock Purchase Agreement (Natures Sunshine Products Inc)
Investment Company. The Company is notnot and, and immediately after receipt of payment for giving effect to the Securities Transactions, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 1 contract
Samples: Indenture (TimkenSteel Corp)
Investment Company. The Company is not, and immediately after receipt of the payment for the Securities Shares will not be, an “investment company” within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 1 contract
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities Public Shares will not be, 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 1 contract
Investment Company. The Company is not, and immediately after upon receipt by the Company of payment for the Securities proceeds from the sale of Commercial Paper Notes the Company will not bethereby become, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Letter of Credit Agreement (Hosokawa Micron International Inc)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares and Pre-Funded Warrants, will not be, be an “investment company,” within the meaning of as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Denali Therapeutics Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for giving effect to the Securities Transactions will not be, an “"investment company” within the meaning of " as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, and immediately after receipt of payment for the Securities New Shares will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Infinity Pharmaceuticals, Inc.)
Investment Company. The Company is not, and immediately after the issuance and sale of the Purchased Shares and receipt of payment for the Securities therefor will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.. (v)
Appears in 1 contract
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.. (v)
Appears in 1 contract
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities Securities, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Cell Therapeutics 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, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Hollywood Media Corp)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Notes will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Convertible Note Purchase Agreement (Bitauto Holdings LTD)
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities Securities, will not be, 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 subject to the Investment Company Act.
Appears in 1 contract
Samples: Emisphere Technologies Inc
Investment Company. The Company is not, and immediately after receipt of payment for the Securities shares of Preferred Stock, will not be, be 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 subject to the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Wheeler Real Estate Investment Trust, Inc.)
Investment Company. The Company is not, and immediately after receipt the issuance of payment for the Securities Exchanged Shares will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Preferreds, Warrants and First Closing Warrants will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder.
Appears in 1 contract
Samples: Securities Purchase Agreement (Z Trim Holdings, Inc)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities proceeds of the issuance of the Purchased Shares will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares, will not be, be or be an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Stock Purchase Agreement (Mirna Therapeutics, Inc.)
Investment Company. The Company is not, and immediately after the issuance and sale of the Purchased Shares and receipt of payment for the Securities therefor will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares will not be, 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 1 contract
Samples: Underwriting Agreement (Nephros Inc)
Investment Company. The Company is notnot and, and immediately after receipt of payment for the Securities Securities, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares and Warrants, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Note Amount, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Note Purchase Agreement (Roth CH Acquisition III Co)
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities Shares will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Stock Purchase Agreement (InvenTrust Properties Corp.)
Investment Company. The Neither the Company nor any of its Subsidiaries is not, and immediately after receipt of payment for the Securities will not be, be 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 1 contract
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Investor Shares, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company intends to conduct its business in a manner so that it will not become subject to the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Western Alliance Bancorporation)
Investment Company. The Company is notnot and, and immediately after receipt of payment for the Securities Securities, will not be, be 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 1 contract
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares, Warrants and Prefunded Warrants, will not be, be or be 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 subject to the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Liminal BioSciences Inc.)
Investment Company. The Company Corporation is not, and immediately after receipt of payment for the Securities Shares, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Corporation shall conduct its business in a manner so that it will not become subject to the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Western Alliance Bancorporation)
Investment Company. The Company is notnot and, and immediately after receipt of payment for the Securities Shares and Warrants, will not be, be 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 subject to the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Mri Interventions, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Purchased Securities will not be, 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 subject to the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Registration Rights Agreement (Vitesse Semiconductor Corp)
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities Shares will not be, be 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 subject to the Investment Company Act.
Appears in 1 contract
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities will not beand the anticipated use of proceeds therefrom, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Very Good Food Co Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities shares of Preferred Stock, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares and Warrants, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Epicept Corp
