Investment Company. The Company is not required to be registered as, and is not an Affiliate of, and immediately following the Closing will not be required to register as, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 206 contracts
Samples: Securities Purchase Agreement (Avinger Inc), Stock Purchase Agreement (Verve Therapeutics, Inc.), Securities Purchase Agreement (T2 Biosystems, Inc.)
Investment Company. The Neither the Company nor any of its Subsidiaries is not required to be registered as, and is not an Affiliate of, and immediately following the Closing will not be required to register as, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 57 contracts
Samples: Securities Purchase Agreement (Castle Creek Capital Partners V, LP), Securities Purchase Agreement (Citizens Community Bancorp Inc.), Securities Purchase Agreement (Porter Bancorp, Inc.)
Investment Company. The Company is not required to be registered as, and is not an Affiliate of, and immediately following the Closing will not be required to register as, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 48 contracts
Samples: Securities Purchase Agreement (Century Therapeutics, Inc.), Securities Purchase Agreement (Eliem Therapeutics, Inc.), Securities Purchase Agreement (Skye Bioscience, Inc.)
Investment Company. The Company is not required to be registered as, and is not an Affiliate affiliate of, and immediately following the Closing will not be required to register as, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 41 contracts
Samples: Subscription Agreement (Kairos Pharma, LTD.), Subscription Agreement (Kairos Pharma, LTD.), Subscription Agreement (PishPosh, Inc.)
Investment Company. The Company is not required to be registered as, and is not an Affiliate of, and immediately following after receipt of payment for the Closing Purchase Shares will not be required to register be registered as, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 28 contracts
Samples: Purchase Agreement (Workhorse Group Inc.), Purchase Agreement (Meta Materials Inc.), Purchase Agreement (Meta Materials Inc.)
Investment Company. The Neither the Company nor any of the Company Subsidiaries is not required to be registered as, and is not an Affiliate of, and immediately following the Closing will not be required to register as, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 13 contracts
Samples: Stock Purchase Agreement (Broadway Financial Corp \De\), Stock Purchase Agreement (Broadway Financial Corp \De\), Stock Purchase Agreement (Broadway Financial Corp \De\)
Investment Company. The Company is not required to be registered as, and is not an Affiliate of, and immediately following the Closing Closing, will not be required to register as, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Common Stock and Warrant Purchase Agreement (vTv Therapeutics Inc.), Common Stock Purchase Agreement (G42 Investments AI Holdings RSC Ltd.), Common Stock Purchase Agreement (vTv Therapeutics Inc.)
Investment Company. The Company is not required to be registered as, and is not an Affiliate of, and immediately following the Closing and the Merger will not be required to register as, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Subscription Agreement (Innovate Biopharmaceuticals, Inc.), Subscription Agreement (Opexa Therapeutics, Inc.), Subscription Agreement (Signal Genetics, Inc.)
Investment Company. The Company is not required to be registered asand, and is not an Affiliate of, and immediately following the Closing Closing, will not be required to register as, as an “investment company” within the meaning of company under the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Share Purchase Agreement (Structure Therapeutics Inc.), Share Purchase Agreement (Structure Therapeutics Inc.), Unit Purchase Agreement (CytomX Therapeutics, Inc.)
Investment Company. The Company is not required to be registered as, and is not an Affiliate of, and immediately following the Initial Closing will not be required to register as, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Local Bounti Corporation/De), Securities Purchase Agreement (Local Bounti Corporation/De), Subscription Agreement (Wrap Technologies, Inc.)
Investment Company. The Each of the Company and its subsidiaries is not required to be registered as, and is not an Affiliate affiliate of, and immediately following the Closing will not be required to register as, an “investment company” within the meaning of the U.S. Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Subscription Agreement (RoyaLand Co Ltd.), Subscription Agreement (Reticulate Micro, Inc.), Subscription Agreement (RoyaLand Co Ltd.)
Investment Company. The Company is not required to be registered as, and is not an Affiliate of, and immediately following the Closing will not be required to register as, an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 3 contracts
Samples: Purchase Agreement (Adamis Pharmaceuticals Corp), Purchase Agreement (Adamis Pharmaceuticals Corp), Purchase Agreement (Adamis Pharmaceuticals Corp)
Investment Company. The Company is not required to be registered as, and is not an Affiliate ofof (as defined under the 1934 Act), and immediately following the Closing will not be required to register as, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Financial Advisory Agreement (ZBB Energy Corp), Financial Advisory Agreement (ZBB Energy Corp), Financial Advisory Agreement (Overland Storage Inc)
Investment Company. The Company is not required to be registered as, and is not an Affiliate of, and immediately following each of the Closing Closings will not be required to register as, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Purchase Agreement (Sphere 3D Corp), Purchase Agreement (Sphere 3D Corp)
Investment Company. The Company Buyer is not required to be registered as, and is not an Affiliate affiliate of, and immediately following the Closing will not be required to register as, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Agreement and Plan of Merger (Neah Power Systems, Inc.), Agreement and Plan of Merger (Neah Power Systems, Inc.)
Investment Company. The Company is not required to be registered as, and is not an Affiliate affiliate of, and immediately following as the Closing result of the transactions contemplated by the Offering will not be required to register as, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Subscription Agreement (Entera Bio Ltd.), Subscription Agreement (Entera Bio Ltd.)
Investment Company. The Company is not required to be registered as, and is not an Affiliate of, and immediately following the Closing completion of the Offering will not be required to register as, 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 required to be registered as, and is not an Affiliate of, and immediately following the Initial Closing Date will not be required to register as, 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 required to be registered as, and is not an Affiliate of, and immediately following the First Subsequent Closing will not be required to register as, 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 required to be registered as, and is not an Affiliate of, and immediately following the each Closing will not be required to register as, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Autolus Therapeutics PLC)
Investment Company. The Company Buyer is not required to be registered as, and is not an Affiliate of, and immediately following the Closing will not be required to register as, 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 required to be registered as, and is not an Affiliate of, and immediately following the Closing will not be required to register as, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.. 4.30
Appears in 1 contract
Samples: Securities Purchase Agreement (Skye Bioscience, Inc.)
Investment Company. The Company is not required to be registered as, and is not an Affiliate of, and immediately following the each Applicable Closing will not be required to register as, 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 required to be registered asand, and is not an Affiliate of, and immediately following the Closing Closing, will not be required to register as, as an “investment company” within the meaning of company under the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Mereo Biopharma Group PLC)
Investment Company. The Company is not required to be registered as, and is not an Affiliate of, and immediately following the Closing will not be required to register as, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. Each of the Investors acknowledges and agrees that the Company has not made any representations or warranties with respect to the transactions contemplated hereby other than those specifically set forth in this Section 4.
Appears in 1 contract
Investment Company. The Company is not required to be registered as, and is not an Affiliate of, and immediately following the Closing and (if applicable) each Additional Closing will not be required to register as, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Common Stock Purchase Agreement (REV Renewables, Inc.)
Investment Company. The Company is not required to be registered as, and is not an Affiliate of, and immediately following the Closing will not be required to register as, an “investment company” or an entity “controlled” by an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: License Agreement (Verastem, Inc.)
Investment Company. The Company Bank is not required to be registered as, and is not an Affiliate of, and immediately following the Closing will not be required to register as, an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the Bank does not sponsor any Person that is such an investment company.
Appears in 1 contract
Samples: Stock Purchase Agreement (Southern California Bancorp \ CA)
Investment Company. The Company is not required to be registered as, and is not an Affiliate of, and immediately following the Closing Funding Date will not be required to register as, 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 required to be registered as, and is not an Affiliate affiliate of, and immediately following the Closing will not be required to register as, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Cardinal Resources, Inc.)
Investment Company. The Company is not required to be registered as, and is not an Affiliate of, and immediately following the Closing will not be required to register be registered as, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Share Transfer Agreement (Axsome Therapeutics, Inc.)
Investment Company. The Company is not required to be registered as, and is not an Affiliate of, and immediately following the First Unit Closing, Second Unit Closing or Common Equity Closing, as applicable, will not be required to register as, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Sunesis Pharmaceuticals Inc)
Investment Company. The Company is not required to be registered asnot, and is not an Affiliate of, and immediately following the at Closing will not be required to register asbe, an “investment company” within the meaning of required to be registered under the Investment Company Act of 1940, as amended. Company will conduct its business in a manner so that it will not be required to register as an “investment company” under the Investment Company Act.
Appears in 1 contract
