Common use of Compliance with Registration Requirements Clause in Contracts

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of the 1933 Act Regulations that has been filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 11 contracts

Samples: Underwriting Agreement (Healthpeak Properties, Inc.), Underwriting Agreement (Healthpeak Properties, Inc.), Lease and Security Agreement (Hcp, Inc.)

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Compliance with Registration Requirements. The Company is eligible to use Form N-2. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of (and the 1933 Act Regulations that has been filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement or as amended by any post-effective amendment if the Company shall have made any amendments thereto pursuant to Rule 401(g)(2after the effective date of the Registration Statement) of became effective upon filing under the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act Commission and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No no stop order suspending the effectiveness of the Registration Statement (and the Registration Statement as amended by any post-effective amendment if the Company shall have made any amendments thereto after the effective date of the Registration Statement) has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. At the respective times the Registration Statement and any post-effective amendments thereto became effective, at the Applicable Time and at the Closing Time, the Registration Statement complied and will comply in all material respects with the requirements of the 1933 Act, the 1933 Act Regulations and the 1940 Act and did not and will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. Neither the Prospectus nor any amendments or supplements thereto (including any prospectus wrapper), at the time the Prospectus or any such amendment or supplement was issued, and at the Closing Time, included or will include an untrue statement of a material fact or omitted or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. The Prospectus, at the Representation Date (unless preliminary prospectus and the term “Prospectus” refers prospectus filed as part of the Registration Statement as originally filed or as part of any amendment thereto complied when so filed in all material respects with the 1933 Act, the 1933 Act Regulations and the 1940 Act except for any corrections to a the preliminary prospectus which has been provided that are made in the Prospectus and the preliminary prospectus and the Prospectus delivered to the Underwriters by the Company for use in connection with this offering was identical to the offering of the Securities which differs from the Prospectus electronically transmitted copies thereof filed with the Commission pursuant to Rule 424(b) EXXXX, except to the extent permitted by Regulation S-T. As of the 1933 Act RegulationsApplicable Time, the preliminary prospectus, together with the information included on Schedule B hereto, all considered together (collectively, the “General Disclosure Package”), did not include any untrue statement of a material fact or omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which case they were made, not misleading. As of the date hereof, as of the Applicable Time, and as of the Closing Time, the Marketing Materials (as defined below), together with the information contained in the General Disclosure Package, did not and will not include any untrue statement of a material fact or omit to state any material fact necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. The documents incorporated or deemed to be incorporated by reference in the Registration Statement, any preliminary prospectus and the Prospectus (i) at the time it is first provided to they were or hereafter are filed with the Underwriters for such useCommission, complied or will comply in all material respects with the requirements of the Securities Exchange Act of 1934, as amended (the “1934 Act”) and (ii) at Closing Timethe time they were filed with the Commission, does when read together with the other information in the Registration Statement, the General Disclosure Package or the Prospectus, as the case may be, did not and or will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 7 contracts

Samples: Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp), 2027 Purchase Agreement (Ares Capital Corp)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of the 1933 Act Regulations that Company has been prepared and filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement or any posta registration statement (File No. 333-effective amendment thereto pursuant to Rule 401(g)(2256733) of on Form N-2, including a related basic prospectus, for registration under the 1933 Act Regulations has been received by of the offering and sale of certain securities of the Company, including the Shares. Each of the Such Registration Statement and the Base ProspectusStatement, at the respective times the Registration Statement and including any post-effective amendments thereto became effective filed prior to the date and as of time that this Agreement is executed and delivered by the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended parties hereto (the “1939 ActExecution Time”), has become effective and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No no stop order suspending the effectiveness of the Registration Statement (and the Registration Statement as amended by any post-effective amendment if the Company shall have made any amendments thereto after the effective date of the Registration Statement) has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The ProspectusCompany may have filed, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided as part of an amendment to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission Registration Statement or pursuant to Rule 424(b) under the 1933 Act or such other 1933 Act rule as may be applicable to the Company, one or more amendments thereto, each of which has previously been furnished to you. The Company will file with the Commission one or more prospectus supplements (including any amendment or supplement thereto) (collectively, the “Prospectus Supplement”) related to the Shares in accordance with Rule 424(b) under the 1933 Act, or such other 1933 Act rule as may be applicable to the Company, including all documents incorporated or deemed to be incorporated therein by reference pursuant to the rules or regulations of the Commission. As filed, such Prospectus Supplement, together with the Basic Prospectus, shall contain all information required by the 1933 Act and the 1940 Act and, except to the extent the Manager shall agree in writing to a modification, shall be in all substantive respects in the form furnished to you prior to the Execution Time or prior to any such time this representation is repeated or deemed to be made. The Registration Statement, at the Execution Time, as of the time of each sale of Shares pursuant to this Agreement (each, a “Time of Sale”), at each Settlement Date (as defined in Section 4(a)(vi) hereof), and at all times during which a prospectus is required by the 1933 Act to be delivered in connection with any sale of Shares, meets or will meet the requirements set forth in Rule 415(a)(1)(x) under the 1933 Act. On the Effective Date, the Registration Statement did, and when the Prospectus is first filed in accordance with Rule 424(b) under the 1933 Act, or such other 1933 Act rule as may be applicable to the Company, as of the date that it is filed with the Commission, the date of the Prospectus Supplement, as of each Time of Sale, at each Settlement Date, and at all times during which a prospectus is required by the 1933 Act to be delivered in connection with any sale of Shares, the Prospectus (and any supplements thereto) will comply in all material respects with the applicable requirements of the 1933 Act Regulationsand the 1940 Act; on the Effective Date, at the Execution Time and, as amended or supplemented, as of each Time of Sale, at each Settlement Date and at all times during which a prospectus is required by the 1933 Act to be delivered in connection with any sale of Shares, the Registration Statement did not and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary in order to make the statements therein not misleading; and at no time during the period that begins on the date of the Prospectus Supplement and ends at the later of each Settlement Date and the end of the period during which a prospectus is required by the 1933 Act to be delivered in connection with any sale of Shares did or will the Prospectus, as then amended or supplemented, include any untrue statement of a material fact or omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which case they were made, not misleading; provided, however, that the Company makes no representations or warranties as to the information contained in or omitted from the Registration Statement, or the Prospectus (or any amendment or supplement thereto), in reliance upon and in conformity with information furnished in writing to the Company by or on behalf of the Manager specifically for inclusion in the Registration Statement or the Prospectus (or any amendment or supplement thereto), it being understood and agreed that the only such information furnished by the Manager consists of the name and address of the Manager set forth in the last paragraph under the heading “Plan of Distribution —Conflicts of Interest” in the Prospectus. The Commission has not issued any order preventing or suspending the use of the Prospectus. The documents incorporated or deemed to be incorporated by reference in the Registration Statement and the Prospectus (or any amendment or supplement thereto) (i) at the time it is first provided to they were or hereafter are filed with the Underwriters for such useCommission, complied or will comply in all material respects with the requirements of the Securities Exchange Act of 1934, as amended, and the rules and regulations of the Commission thereunder (collectively called the “Exchange Act”) and (ii) at Closing Timethe time they were or hereafter are filed with the Commission, does when read together with the other information in the Registration Statement or the Prospectus, as the case may be, did not and or will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 7 contracts

Samples: Capital Corporation (Ares Capital Corp), Equity Distribution Agreement (Ares Capital Corp), Capital Corporation (Ares Capital Corp)

Compliance with Registration Requirements. (A) At the time that the Registration Statement was originally filed, (B) at the time of the most recent amendment thereto for the purposes of complying with Section 10(a)(3) of the 1933 Act (whether such amendment was by post-effective amendment, incorporated report filed pursuant to Section 13 or 15(d) of the 1934 Act or form of prospectus), (C) at the time the Company or any person acting on its behalf (within the meaning, for this clause only, of Rule 163(c) of the 1933 Act Regulations) made any offer relating to the Securities in reliance on the exemption of Rule 163 of the 1933 Act Regulations and (D) at the date hereof, the Company (x) was and is a “well-known seasoned issuer” as defined in Rule 405 of the 1933 Act Regulations (“Rule 405”) and (y) was not and is not an “ineligible issuer” as defined in Rule 405. The Registration Statement is an “automatic shelf registration statement,” as defined under in Rule 405 of 405, and the 1933 Act Regulations that Securities, since their registration on the Registration Statement, have been and remain eligible for registration by the Company on an “automatic shelf registration statement” as defined in Rule 405. The Company has been filed with not received from the Commission not earlier than three years prior to the date hereof; and no any notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by (“Rule 401(g)(2)”) objecting to the Companyuse of the automatic shelf registration statement form. Each At the earliest time after the original filing of the Registration Statement and that the Base Prospectus, at Company or another offering participant (with respect to the respective times offering contemplated hereby) made a bona fide offer (within the Registration Statement and any post-effective amendments thereto became effective and as meaning of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a164(h)(2) of the 1933 Act Regulations)) of the Securities, and the Company was not an “ineligible issuer,” as defined in Rule 405. The Indenture has been duly qualified under the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations Trustee has duly filed with the Commission a Statement of Eligibility on Form T-1 as an exhibit to the Registration Statement or pursuant to Section 305(b)(2) of the Commission 1939 Act. The Registration Statement became effective upon filing under Rule 462(e) of the 1939 1933 Act Regulations (the 1939 Act RegulationsRule 462(e))) on June 29, 2021, and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleadingany post-effective amendment thereto also became effective upon filing under Rule 462(e). No stop order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to Any offer that was a prospectus which has been provided written communication relating to the Underwriters Securities made by the Company or any person acting on its behalf (within the meaning, for use in connection with the offering this paragraph only, of Rule 163(c) of the Securities which differs from 1933 Act Regulations) prior to the Prospectus time that the Registration Statement was originally filed has been filed with the Commission in accordance with the exemption provided by Rule 163 of the 1933 Act Regulations (“Rule 163”) and otherwise complied with the requirements of Rule 163, including without limitation the legending requirement, to qualify such offer for the exemption from Section 5(c) of the 1933 Act provided by Rule 163. At the respective times the Registration Statement originally became effective and any amendment thereto became effective, at the time (if subsequent to the time that the Registration Statement originally became effective) the Company’s most recent Annual Report on Form 10-K was filed with the Commission, at each “new effective date” with respect to the Underwriters pursuant to Rule 424(b430B(f)(2) of the 1933 Act Regulations, in which case and at the time it is first provided to the Underwriters for such use) and at Closing Time, does the Registration Statement and any amendments and supplements thereto complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1933 Act Regulations, the 1939 Act, and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and will not include contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading, and, at the date hereof and at the Closing Time, neither the Prospectus nor any amendments or supplements thereto contained or will contain any untrue statement of a material fact or omitted or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations . Each preliminary prospectus and warranties in this subsection (iv) shall not apply to statements in or omissions from Prospectus filed as part of the Registration Statement as originally filed or as part of any amendment thereto, or filed pursuant to Rule 424 of the 1933 Act Regulations, complied when so filed in all material respects with the 1933 Act and the 1933 Act Regulations and, if applicable, each preliminary prospectus and the Prospectus made in reliance upon and in conformity with information furnished delivered to the Company in writing by any Underwriter through the Representatives expressly Underwriters for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit connection with this offering was identical to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data GatheringEXXXX, Analysisexcept to the extent permitted by Regulation S-T of the Commission. As of the Applicable Time, neither (x) all Issuer General Use Free Writing Prospectuses (as defined below) issued at or prior to the Applicable Time (including, without limitation, the Pricing Term Sheet, as hereinafter defined) and Retrieval system or its Interactive Data Electronic Applications system the Statutory Prospectus, considered together (collectively, the XXXXXGeneral Disclosure Package”)., nor (y) any individual Issuer Limited Use Free Writing Prospectus, when considered together with the General Disclosure Package, included or will include any untrue statement of a material fact or omitted or will omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. As used in this subsection and elsewhere in this Agreement:

Appears in 7 contracts

Samples: Purchase Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp)

Compliance with Registration Requirements. The Company meets the requirements for use of Form S-3 under the 1933 Act and the Securities have been duly registered under the 1933 Act pursuant to the Registration Statement. The Registration Statement is an “automatic shelf registration statement” (as defined in Rule 405) and has become effective under Rule 405 of the 1933 Act Regulations that has been filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No no stop order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The ProspectusAt the original effectiveness of the Registration Statement, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering time of the Securities which differs from most recent amendment thereto for the Prospectus filed purposes of complying with the Commission pursuant to Rule 424(bSection 10(a)(3) of the 1933 Act Regulations(whether such amendment was by post-effective amendment, in which case incorporated report filed pursuant to Section 13 or 15(d) of the 1934 Act or form of prospectus), at the time it is first provided the Company or any person acting on its behalf (within the meaning, for this clause only, of Rule 163(c) under the 0000 Xxx) made any offer relating to the Underwriters for such use) Securities in reliance on the exemption of Rule 163 under the 1933 Act, and at Closing as of the Applicable Time, does not the Company was and will not include an untrue statement is a “well-known seasoned issuer” (as defined in Rule 405). At the time of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from filing the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto amendment thereto, at the earliest time thereafter that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2)) of the Securities, at the date hereof and at the Prospectus shall be deemed to includeClosing Date, the Company was not and is not an “ineligible issuer,” as defined in Rule 405, without limitation, taking into account any electronically transmitted copies thereof filed with determination by the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system paragraph (collectively, “XXXXX”)2) of the definition of such term in Rule 405.

Appears in 6 contracts

Samples: Underwriting Agreement (PDC Energy, Inc.), Underwriting Agreement (PDC Energy, Inc.), Underwriting Agreement (PDC Energy, Inc.)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined has become effective under Rule 405 of the 1933 Act Regulations that has been filed with Securities Act. No stop order suspending the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the Base Prospectusbest knowledge of the Company, are contemplated or threatened by the Commission. The Company is eligible to use Form S-3 under the Securities Act. At the original effectiveness of the Registration Statement, at the respective times time the Company or any person acting on its behalf (within the meaning, for this clause only, of Rule 163(c) under the Securities Act) made any offer relating to the Offered Shares in reliance on the exemption of Rule 163 under the Securities Act, and as of the Applicable Time, the Company was and is a “well-known seasoned issuer” (as defined in Rule 405). At the time of filing the Registration Statement and any post-effective amendments thereto amendment thereto, at the earliest time thereafter that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the Securities Act) of the Offered Shares and at the date hereof, the Company was not and is not an “ineligible issuer,” as defined in Rule 405, without taking account of any determination by the SEC pursuant to Rule 405 that it is not necessary that the Company be considered an ineligible issuer. The documents incorporated by reference or deemed to be incorporated by reference into the Registration Statement, the Time of Sale Prospectus and the Prospectus, at the time they were or hereafter are filed with the Commission, or became effective and under the Exchange Act, as of the Representation Datecase may be, complied and will comply in all material respects with the requirements of the 1933 Exchange Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did such documents have not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact been superseded or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”)modified.

Appears in 5 contracts

Samples: Underwriting Agreement (Acadia Healthcare Company, Inc.), Underwriting Agreement (Acadia Healthcare Company, Inc.), Underwriting Agreement (Acadia Healthcare Company, Inc.)

Compliance with Registration Requirements. The Company and the Operating Partnership have filed with the Securities and Exchange Commission (the “Commission”) an “automatic shelf registration statement,” as defined under Rule 405 of the rules and regulations (the “1933 Act Regulations”) of the Commission promulgated under the Securities Act of 1933, as amended (the “1933 Act”), on Form S-3ASR (Nos. 333-211521 and 333-211521-01), including the related base prospectus, which registers certain securities of the Company (including the Shares) and of the Operating Partnership; such registration statement and any post-effective amendment thereto, became effective upon filing with the Commission in accordance with Rule 462(e) of the 1933 Act Regulations (the base prospectus filed as part of such registration statement, in the form in which it has most recently been filed with the Commission on or prior to the date of this Agreement, is hereinafter called the “Base Prospectus”; the various parts of such registration statement, excluding any Form T-1 but including all other exhibits thereto and any prospectus supplement or prospectus relating to the Shares that is filed with the Commission and deemed by virtue of Rule 430B of the 1933 Act Regulations to be part of such registration statement, each as amended at the time such part of the registration statement became effective, are hereinafter collectively called the “Registration Statement”; the prospectus supplement specifically relating to the Shares prepared and filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations is hereinafter called the “Prospectus Supplement”; the Base Prospectus, as amended and supplemented by the Prospectus Supplement, is hereinafter called the “Prospectus”; any reference herein to the Registration Statement, the Base Prospectus, the Prospectus Supplement or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under the 1933 Act; provided, however, that no representation contained in any exhibit to any such incorporated document, other than the representations contained herein, shall be deemed to be made to you; any reference to any amendment or supplement to the Base Prospectus, the Prospectus Supplement or the Prospectus shall be deemed to refer to and include any post-effective amendment to the Registration Statement, any prospectus supplement or base prospectus relating to the Shares filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations and any documents filed under the Securities Exchange Act of 1934, as amended (the “1934 Act”), and incorporated therein, in each case after the date of the Base Prospectus, the Prospectus Supplement or the Prospectus, as the case may be; any reference to any amendment to the Registration Statement shall be deemed to refer to and include any annual report of the Company filed pursuant to Section 13(a) or 15(d) of the 1934 Act after the effective date of the Registration Statement that is incorporated by reference in the Registration Statement; and any “issuer free writing prospectus” as defined in Rule 433 of the 1933 Act Regulations relating to the Shares is hereinafter called an “Issuer Free Writing Prospectus”). The Company meets the requirements for use of the Registration Statement as an automatic shelf registration statement on Form S-3 under the 1933 Act. The Registration Statement became effective under the 1933 Act upon filing with the Commission. The Registration Statement is an “automatic shelf registration statement,” as defined under in Rule 405 of the 1933 Act Regulations that Regulations, and the Shares have been and remain eligible for registration by the Company on an automatic shelf registration statement. No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment thereto has been filed with issued under the Commission not earlier than three years prior to the date hereof; and 1933 Act, no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations an automatic registration statement has been received by the Company, no order preventing, suspending or objecting to the use of the Prospectus or any Issuer Free Writing Prospectus has been issued and no proceeding for any of those purposes has been instituted or, to the Company’s knowledge, threatened by the Commission. The Company has complied with each request (if any) from the Commission for additional information and there are no outstanding or unresolved comments from the Commission or its staff. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became amendment thereto, at the time of its effectiveness, at each deemed effective date with respect to the Agent and as the Shares pursuant to Rule 430B(f)(2) of the Representation 1933 Act Regulations and at each Settlement Date, complied complied, complies and will comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Regulations. The Prospectus and any amendment or supplement thereto, at the time each was filed with the Commission and at each Settlement Date, complied, complies and will comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations. Neither the Registration Statement nor any amendment thereto, at the time of its effectiveness, at any deemed effective date with respect to the Agent and the Shares pursuant to Rule 415(a430B(f)(2) of the 1933 Act Regulations)Regulations or at any Settlement Date contained, and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contains or will contain an untrue statement of a material fact or omitted, omits or will omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending Neither the effectiveness Prospectus nor any amendment or supplement thereto, as of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectusits issue date, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering time of the Securities which differs from the Prospectus filed any filing with the Commission pursuant to Rule 424(b) of the 1933 Act Regulationsor at any Settlement Date, in which case at the time it is first provided to the Underwriters for such use) and at Closing Timeincluded, does not and includes or will not include an untrue statement of a material fact or omitted, omits or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 5 contracts

Samples: Sales Agreement (Retail Opportunity Investments Partnership, LP), Sales Agreement (Retail Opportunity Investments Partnership, LP), Sales Agreement (Retail Opportunity Investments Partnership, LP)

Compliance with Registration Requirements. (A) At the time that the Registration Statement was originally filed, (B) at the time of the most recent amendment thereto for the purposes of complying with Section 10(a)(3) of the 1933 Act (whether such amendment was by post-effective amendment, incorporated report filed pursuant to Section 13 or 15(d) of the 1934 Act or form of prospectus), (C) at the time the Company or any person acting on its behalf (within the meaning, for this clause only, of Rule 163(c) of the 1933 Act Regulations) made any offer relating to the Securities in reliance on the exemption of Rule 163 of the 1933 Act Regulations and (D) at the date hereof, the Company (x) was and is a “well-known seasoned issuer” as defined in Rule 405 of the 1933 Act Regulations (“Rule 405”) and (y) was not and is not an “ineligible issuer” as defined in Rule 405. The Registration Statement is an “automatic shelf registration statement,” as defined under in Rule 405 of 405, and the 1933 Act Regulations that Securities, since their registration on the Registration Statement, have been and remain eligible for registration by the Company on an “automatic shelf registration statement” as defined in Rule 405. The Company has been filed with not received from the Commission not earlier than three years prior to the date hereof; and no any notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by (“Rule 401(g)(2)”) objecting to the Companyuse of the automatic shelf registration statement form. Each At the earliest time after the original filing of the Registration Statement that the Company or another offering participant (with respect to the offering contemplated hereby) made a bona fide offer (within the meaning of Rule 164(h)(2) of the 1933 Act Regulations) of the Securities, the Company was not an “ineligible issuer,” as defined in Rule 405. The Registration Statement became effective upon filing under Rule 462(e) of the 1933 Act Regulations (“Rule 462(e)”) on March 24, 2009, and any post-effective amendment thereto also became effective upon filing under Rule 462(e). No stop order suspending the Base Prospectuseffectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose have been instituted or are pending or, at to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. Any offer that was a written communication relating to the Securities made by the Company or any person acting on its behalf (within the meaning, for this paragraph only, of Rule 163(c) of the 1933 Act Regulations) prior to the time that the Registration Statement was originally filed has been filed with the Commission in accordance with the exemption provided by Rule 163 of the 1933 Act Regulations (“Rule 163”) and otherwise complied with the requirements of Rule 163, including without limitation the legending requirement, to qualify such offer for the exemption from Section 5(c) of the 1933 Act provided by Rule 163. At the respective times the Registration Statement and any post-effective amendments thereto originally became effective and as any amendment thereto became effective, at the time the Company’s most recent Annual Report on Form 10-K was filed with the Commission, at each “new effective date” with respect to the Underwriters pursuant to Rule 430B(f)(2) of the Representation Date1933 Act Regulations, and at the Closing Time (and, if any Option Securities are purchased, at each Date of Delivery), the Registration Statement and any amendments and supplements thereto complied and will comply in all material respects with the applicable requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of Act, the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectusand, at the Representation date hereof and at the Closing Time (and, if any Option Securities are purchased, at each Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from Delivery), neither the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and nor any amendments or supplements thereto contained or will not include an contain any untrue statement of a material fact or omitted or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations . Each preliminary prospectus and warranties in this subsection (iv) shall not apply to statements in or omissions from Prospectus filed as part of the Registration Statement as originally filed or as part of any amendment thereto, or filed pursuant to Rule 424 under the 1933 Act, complied when so filed in all material respects with the 1933 Act and the 1933 Act Regulations and, if applicable, each preliminary prospectus and the Prospectus made in reliance upon and in conformity with information furnished delivered to the Company in writing by any Underwriter through the Representatives expressly Underwriters for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit connection with this offering was identical to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data GatheringXXXXX, Analysisexcept to the extent permitted by Regulation S-T of the Commission. As of the Applicable Time, neither (x) all Issuer General Use Free Writing Prospectuses (as defined below) issued at or prior to the Applicable Time and Retrieval system or its Interactive Data Electronic Applications system the Statutory Prospectus and the information included on Schedule C hereto, considered together (collectively, the XXXXXGeneral Disclosure Package”)., nor (y) any individual Issuer Limited Use Free Writing Prospectus, when considered together with the General Disclosure Package, included or will include any untrue statement of a material fact or omitted or will omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. As used in this subsection and elsewhere in this Agreement:

Appears in 5 contracts

Samples: Purchase Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of the 1933 Act Regulations that has been filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement registration statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives Representative expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 4 contracts

Samples: Underwriting Agreement (Hcp, Inc.), Underwriting Agreement (Hcp, Inc.), Underwriting Agreement (Hcp, Inc.)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of the 1933 Act Regulations that Company has been prepared and filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement or any posta registration statement (File No. 333-effective amendment thereto pursuant to Rule 401(g)(2256733) of on Form N-2, including a related basic prospectus, for registration under the 1933 Act Regulations has been received by of the offering and sale of certain securities of the Company, including the Shares. Each of the Such Registration Statement and the Base ProspectusStatement, at the respective times the Registration Statement and including any post-effective amendments thereto became effective filed prior to the date and as of time that this Agreement is executed and delivered by the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended parties hereto (the “1939 ActExecution Time”), has become effective and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No no stop order suspending the effectiveness of the Registration Statement (and the Registration Statement as amended by any post-effective amendment if the Company shall have made any amendments thereto after the effective date of the Registration Statement) has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The ProspectusCompany may have filed, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided as part of an amendment to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission Registration Statement or pursuant to Rule 424(b) under the 1933 Act or such other 1933 Act rule as may be applicable to the Company, one or more amendments thereto, each of which has previously been furnished to you. The Company will file with the Commission one or more prospectus supplements (collectively, the “Prospectus Supplement”) related to the Shares in accordance with Rule 424(b) under the 1933 Act, or such other 1933 Act rule as may be applicable to the Company, including all documents incorporated or deemed to be incorporated therein by reference pursuant to the rules or regulations of the Commission. As filed, such Prospectus Supplement, together with the Basic Prospectus, shall contain all information required by the 1933 Act and the 1940 Act and, except to the extent the Manager shall agree in writing to a modification, shall be in all substantive respects in the form furnished to you prior to the Execution Time or prior to any such time this representation is repeated or deemed to be made. The Registration Statement, at the Execution Time, as of the time of each sale of Shares pursuant to this Agreement (each, a “Time of Sale”), at each Settlement Date (as defined in Section 4(a)(vi) hereof), and at all times during which a prospectus is required by the 1933 Act to be delivered in connection with any sale of Shares, meets or will meet the requirements set forth in Rule 415(a)(1)(x) under the 1933 Act. On the Effective Date, the Registration Statement did, and when the Prospectus is first filed in accordance with Rule 424(b) under the 1933 Act, or such other 1933 Act rule as may be applicable to the Company, as of the date that it is filed with the Commission, the date of the Prospectus Supplement, as of each Time of Sale, at each Settlement Date, and at all times during which a prospectus is required by the 1933 Act to be delivered in connection with any sale of Shares, the Prospectus (and any supplements thereto) will comply in all material respects with the applicable requirements of the 1933 Act Regulationsand the 1940 Act; on the Effective Date, at the Execution Time and, as amended or supplemented, as of each Time of Sale, at each Settlement Date and at all times during which a prospectus is required by the 1933 Act to be delivered in connection with any sale of Shares, the Registration Statement did not and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary in order to make the statements therein not misleading; and at no time during the period that begins on the date of the Prospectus Supplement and ends at the later of each Settlement Date and the end of the period during which a prospectus is required by the 1933 Act to be delivered in connection with any sale of Shares did or will the Prospectus, as then amended or supplemented, include any untrue statement of a material fact or omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which case they were made, not misleading; provided, however, that the Company makes no representations or warranties as to the information contained in or omitted from the Registration Statement, or the Prospectus (or any amendment or supplement thereto), in reliance upon and in conformity with information furnished in writing to the Company by or on behalf of the Manager specifically for inclusion in the Registration Statement or the Prospectus (or any amendment or supplement thereto), it being understood and agreed that the only such information furnished by the Manager consists of the name and address of the Manager set forth in the last paragraph under the heading “Plan of Distribution —Conflicts of Interest” in the Prospectus. The Commission has not issued any order preventing or suspending the use of the Prospectus. The documents incorporated or deemed to be incorporated by reference in the Registration Statement and the Prospectus (or any amendment or supplement thereto) (i) at the time it is first provided to they were or hereafter are filed with the Underwriters for such useCommission, complied or will comply in all material respects with the requirements of the Securities Exchange Act of 1934, as amended, and the rules and regulations of the Commission thereunder (collectively called the “Exchange Act”) and (ii) at Closing Timethe time they were or hereafter are filed with the Commission, does when read together with the other information in the Registration Statement or the Prospectus, as the case may be, did not and or will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 4 contracts

Samples: Equity Distribution Agreement (Ares Capital Corp), Capital Corporation (Ares Capital Corp), Equity Distribution Agreement (Ares Capital Corp)

Compliance with Registration Requirements. (A) At the time that the Registration Statement was originally filed, (B) at the time of the most recent amendment thereto for the purposes of complying with Section 10(a)(3) of the 1933 Act (whether such amendment was by post-effective amendment, incorporated report filed pursuant to Section 13 or 15(d) of the 1934 Act or form of prospectus), (C) at the time the Company or any person acting on its behalf (within the meaning, for this clause only, of Rule 163(c) of the 1933 Act Regulations) made any offer relating to the Securities in reliance on the exemption of Rule 163 of the 1933 Act Regulations and (D) at the date hereof, the Company (x) was and is a “well-known seasoned issuer” as defined in Rule 405 of the 1933 Act Regulations (“Rule 405”) and (y) was not and is not an “ineligible issuer” as defined in Rule 405. The Registration Statement is an “automatic shelf registration statement,” as defined under in Rule 405 of 405, and the 1933 Act Regulations that Securities, since their registration on the Registration Statement, have been and remain eligible for registration by the Company on an “automatic shelf registration statement” as defined in Rule 405. The Company has been filed with not received from the Commission not earlier than three years prior to the date hereof; and no any notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by (“Rule 401(g)(2)”) objecting to the Companyuse of the automatic shelf registration statement form. Each At the earliest time after the original filing of the Registration Statement that the Company or another offering participant (with respect to the offering contemplated hereby) made a bona fide offer (within the meaning of Rule 164(h)(2) of the 1933 Act Regulations) of the Securities, the Company was not an “ineligible issuer,” as defined in Rule 405. The Registration Statement became effective upon filing under Rule 462(e) of the 1933 Act Regulations (“Rule 462(e)”) on February 22, 2013, and any post-effective amendment thereto also became effective upon filing under Rule 462(e). No stop order suspending the Base Prospectuseffectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose have been instituted or are pending or, at to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. Any offer that was a written communication relating to the Securities made by the Company or any person acting on its behalf (within the meaning, for this paragraph only, of Rule 163(c) of the 1933 Act Regulations) prior to the time that the Registration Statement was originally filed has been filed with the Commission in accordance with the exemption provided by Rule 163 of the 1933 Act Regulations (“Rule 163”) and otherwise complied with the requirements of Rule 163, including without limitation the legending requirement, to qualify such offer for the exemption from Section 5(c) of the 1933 Act provided by Rule 163. At the respective times the Registration Statement and any post-effective amendments thereto originally became effective and as any amendment thereto became effective, at the time the Company’s most recent Annual Report on Form 10-K was filed with the Commission, at each “new effective date” with respect to the Underwriters pursuant to Rule 430B(f)(2) of the Representation Date1933 Act Regulations, and at the Closing Time (and, if any Option Securities are purchased, at each Date of Delivery), the Registration Statement and any amendments and supplements thereto complied and will comply in all material respects with the applicable requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of Act, the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectusand, at the Representation date hereof and at the Closing Time (and, if any Option Securities are purchased, at each Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from Delivery), neither the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and nor any amendments or supplements thereto contained or will not include an contain any untrue statement of a material fact or omitted or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations . Each preliminary prospectus and warranties in this subsection (iv) shall not apply to statements in or omissions from Prospectus filed as part of the Registration Statement as originally filed or as part of any amendment thereto, or filed pursuant to Rule 424 under the 1933 Act, complied when so filed in all material respects with the 1933 Act and the 1933 Act Regulations and, if applicable, each preliminary prospectus and the Prospectus made in reliance upon and in conformity with information furnished delivered to the Company in writing by any Underwriter through the Representatives expressly Underwriters for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit connection with this offering was identical to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data GatheringXXXXX, Analysisexcept to the extent permitted by Regulation S-T of the Commission. As of the Applicable Time, neither (x) all Issuer General Use Free Writing Prospectuses (as defined below) issued at or prior to the Applicable Time and Retrieval system or its Interactive Data Electronic Applications system the Statutory Prospectus and the information included on Schedule C hereto, considered together (collectively, the XXXXXGeneral Disclosure Package”)., nor (y) any individual Issuer Limited Use Free Writing Prospectus, when considered together with the General Disclosure Package, included or will include any untrue statement of a material fact or omitted or will omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. As used in this subsection and elsewhere in this Agreement:

Appears in 4 contracts

Samples: Purchase Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp)

Compliance with Registration Requirements. (A) At the respective times the Registration Statement or any amendments thereto were filed with the Commission, (B) at the time of the most recent amendment to the Registration Statement for the purposes of complying with Section 10(a)(3) of the Securities Act (whether such amendment was by post-effective amendment, incorporated report filed pursuant to Section 13 or 15(d) of the Exchange Act or form of prospectus), (C) at any time the Company or any person acting on its behalf (within the meaning, for this clause only, of Rule 163(c)) made any offer relating to the Securities in reliance on the exemption of Rule 163 and (D) at the date hereof, the Company was and is a “well-known seasoned issuer” as defined in Rule 405. The Company meets the requirements for use of Form S-3ASR under the Securities Act, and the offering and sale of the Securities as contemplated hereby complies with, the requirements of Rule 415 under the Securities Act. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of and any post-effective amendments thereto were filed by the 1933 Act Regulations that has been filed Company with the Commission not earlier than three years prior to the date hereof; of this Agreement. The Registration Statement became effective under the Securities Act upon filing with the Commission. The Registration Statement is an “automatic shelf registration statement,” as defined in Rule 405, and the Securities have been and remain eligible for registration by the Company on an automatic shelf registration statement. No stop order suspending the effectiveness of the Registration Statement or any part thereof has been issued under the Securities Act and no proceedings for that purpose have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of under the 1933 Securities Act Regulations has been received by the Company. Each No order preventing or suspending the use of any preliminary prospectus or the Prospectus has been issued and no proceeding for that purpose has been instituted or, to the knowledge of the Registration Statement and Company, threatened or contemplated by the Base Prospectus, at Commission or the securities authority of any jurisdiction. Any request on the part of the Commission for additional information has been complied with. At the respective times the Registration Statement and any post-effective amendments thereto became effective, (at each deemed effective date with respect to the Underwriters and as of the Representation Securities pursuant to Rule 430B(f)(2)) and at the Closing Date, complied the Registration Statement and any amendments and supplements thereto complied, complies and will comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”)Securities Act, and did not, does not and as of the Representation Date and at Closing Time do will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending At the effectiveness respective times that the Registration Statement or any amendment to any of the foregoing were filed, as of the earliest time after the filing of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the any other offering participant made a bona fide offer of the Securities have been instituted or are pending orwithin the meaning of Rule 164(h)(2), and at the date hereof, the Company was not and is not an “ineligible issuer” as defined in Rule 405, in each case without taking into account any determination made by the Commission pursuant to paragraph (2) of the definition of such term in Rule 405; and without limitation to the knowledge foregoing, the Company has at all relevant times met, meets and will at all relevant times meet the requirements of Rule 164 for the Company, are use of a free writing prospectus (as defined in Rule 405) in connection with the offering contemplated by hereby. The Preliminary Prospectus Supplement (including the Commission, and any request on the Base Prospectus filed as part of the Commission for additional information has been Registration Statement or any amendment thereto) complied with. The Prospectus, at when so filed in all material respects with the Representation Date (unless Securities Act and any such preliminary prospectus and the term “Prospectus” refers to a prospectus which has been provided Prospectus and any amendments or supplements thereto delivered or made available to the Underwriters by the Company for use in connection with the offering of any Securities was and will be, at the Securities which differs from time of such delivery, identical to the Prospectus electronically transmitted copies thereof filed with the Commission pursuant to Rule 424(b) XXXXX, except to the extent permitted by Regulation S-T. Each Issuer Free Writing Prospectus (as defined below), as of its issue date and as of the 1933 Act Regulationsrelevant Applicable Time and Closing Date, or until any earlier date that the issuer notified or notifies each Underwriter as described in which case at the time it is first provided to the Underwriters for such useSection 3(e) and at Closing Timehereof, did not, does not and will not (i) include any information that conflicted, conflicts or will conflict with the information contained in the Registration Statement or the Prospectus, including any document incorporated by reference therein that has not been superseded or modified or (ii) when taken together with the Prospectus, include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the . The representations and warranties in this subsection (iv) the preceding three paragraphs shall not apply to statements in or omissions from the Registration Statement Statement, or Prospectus any post-effective amendment thereto, or the Prospectus, made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed Content (as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”hereinafter defined).

Appears in 4 contracts

Samples: Underwriting Agreement (Healthcare Trust of America Holdings, LP), Underwriting Agreement (Healthcare Trust of America Holdings, LP), Underwriting Agreement (Healthcare Trust of America Holdings, LP)

Compliance with Registration Requirements. (A) At the time of filing the Original Registration Statement, (B) at the time of the most recent amendment thereto, if any, for the purposes of complying with Section 10(a)(3) of the 1933 Act (whether such amendment was by post-effective amendment, incorporated report filed pursuant to Section 13 or 15(d) of the 1934 Act or form of prospectus), (C) at the time the Company or any person acting on its behalf (within the meaning, for this clause only, of Rule 163(c) of the 1933 Act Regulations) made any offer relating to the Securities in reliance on the exemption provided by Rule 163 of the 1933 Act Regulations (“Rule 163”) and (D) at the date hereof, the Company was and is a “well-known seasoned issuer” as defined in Rule 405 of the 1933 Act Regulations (“Rule 405”), including not having been and not being an “ineligible issuer” as defined in Rule 405. The Registration Statement is an “automatic shelf registration statement,” as defined under in Rule 405, and the Securities, since their registration on the Registration Statement, have been and remain eligible for registration by the Company on a Rule 405 of the 1933 Act Regulations that “automatic shelf registration statement.” The Company has been filed with not received from the Commission not earlier than three years prior to the date hereof; and no any notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by objecting to the Company. Each use of the automatic shelf registration statement form. At the time of filing the Original Registration Statement and the Base ProspectusStatement, at the respective times earliest time thereafter that the Registration Statement and any post-effective amendments thereto became effective and as Company or another offering participant made a bona fide offer (within the meaning of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a164(h)(2) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering ) of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by date hereof, the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does was not and will is not include an untrue statement of a material fact or omit to state a material fact necessary “ineligible issuer,” as defined in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”)Rule 405.

Appears in 4 contracts

Samples: Underwriting Agreement (Government Properties Income Trust), Underwriting Agreement (Government Properties Income Trust), Underwriting Agreement (Select Income Reit)

Compliance with Registration Requirements. (A) At the time that the Registration Statement was originally filed, (B) at the time of the most recent amendment thereto for the purposes of complying with Section 10(a)(3) of the 1933 Act (whether such amendment was by post-effective amendment, incorporated report filed pursuant to Section 13 or 15(d) of the 1934 Act or form of prospectus), (C) at the time the Company or any person acting on its behalf (within the meaning, for this clause only, of Rule 163(c) of the 1933 Act Regulations) made any offer relating to the Securities in reliance on the exemption of Rule 163 of the 1933 Act Regulations and (D) at the date hereof, the Company (x) was and is a “well-known seasoned issuer” as defined in Rule 405 of the 1933 Act Regulations (“Rule 405”) and (y) was not and is not an “ineligible issuer” as defined in Rule 405. The Registration Statement is an “automatic shelf registration statement,” as defined under in Rule 405 of 405, and the 1933 Act Regulations that Securities, since their registration on the Registration Statement, have been and remain eligible for registration by the Company on an “automatic shelf registration statement” as defined in Rule 405. The Company has been filed with not received from the Commission not earlier than three years prior to the date hereof; and no any notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by (“Rule 401(g)(2)”) objecting to the Companyuse of the automatic shelf registration statement form. Each At the earliest time after the original filing of the Registration Statement and that the Base Prospectus, at Company or another offering participant (with respect to the respective times offering contemplated hereby) made a bona fide offer (within the Registration Statement and any post-effective amendments thereto became effective and as meaning of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a164(h)(2) of the 1933 Act Regulations)) of the Securities, and the Company was not an “ineligible issuer,” as defined in Rule 405. The Indenture has been duly qualified under the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations Trustee has duly filed with the Commission a Statement of Eligibility on Form T-1 as an exhibit to the Registration Statement or pursuant to Section 305(b)(2) of the Commission 1939 Act. The Registration Statement became effective upon filing under Rule 462(e) of the 1939 1933 Act Regulations (the 1939 Act RegulationsRule 462(e))) on December 21, 2015, and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleadingany post-effective amendment thereto also became effective upon filing under Rule 462(e). No stop order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to Any offer that was a prospectus which has been provided written communication relating to the Underwriters Securities made by the Company or any person acting on its behalf (within the meaning, for use in connection with the offering this paragraph only, of Rule 163(c) of the Securities which differs from 1933 Act Regulations) prior to the Prospectus time that the Registration Statement was originally filed has been filed with the Commission in accordance with the exemption provided by Rule 163 of the 1933 Act Regulations (“Rule 163”) and otherwise complied with the requirements of Rule 163, including without limitation the legending requirement, to qualify such offer for the exemption from Section 5(c) of the 1933 Act provided by Rule 163. At the respective times the Registration Statement originally became effective and any amendment thereto became effective, at the time the Company’s most recent Annual Report on Form 10-K was filed with the Commission, at each “new effective date” with respect to the Underwriters pursuant to Rule 424(b430B(f)(2) of the 1933 Act Regulations, in which case and at the time it is first provided to the Underwriters for such use) and at Closing Time, does the Registration Statement and any amendments and supplements thereto complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1933 Act Regulations, the 1939 Act, and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and will not include contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading, and, at the date hereof and at the Closing Time, neither the Prospectus nor any amendments or supplements thereto contained or will contain any untrue statement of a material fact or omitted or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations . Each preliminary prospectus and warranties in this subsection (iv) shall not apply to statements in or omissions from Prospectus filed as part of the Registration Statement as originally filed or as part of any amendment thereto, or filed pursuant to Rule 424 under the 1933 Act, complied when so filed in all material respects with the 1933 Act and the 1933 Act Regulations and, if applicable, each preliminary prospectus and the Prospectus made in reliance upon and in conformity with information furnished delivered to the Company in writing by any Underwriter through the Representatives expressly Underwriters for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit connection with this offering was identical to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data GatheringXXXXX, Analysisexcept to the extent permitted by Regulation S-T of the Commission. As of the Applicable Time, neither (x) all Issuer General Use Free Writing Prospectuses (as defined below) issued at or prior to the Applicable Time (including, without limitation, the Pricing Term Sheet, as hereinafter defined) and Retrieval system or its Interactive Data Electronic Applications system the Statutory Prospectus, considered together (collectively, the XXXXXGeneral Disclosure Package”)., nor (y) any individual Issuer Limited Use Free Writing Prospectus, when considered together with the General Disclosure Package, included or will include any untrue statement of a material fact or omitted or will omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. As used in this subsection and elsewhere in this Agreement:

Appears in 4 contracts

Samples: Purchase Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp)

Compliance with Registration Requirements. The Company meets the requirements for use of Form S-3 under the 1933 Act. The Registration Statement is an “automatic shelf registration statement” as defined (including any Rule 462(b) Registration Statement) has become effective under Rule 405 of the 1933 Act Regulations that has been filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No no stop order suspending the effectiveness of the Registration Statement (or such Rule 462(b) Registration Statement) has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The In addition, each Indenture has been duly qualified under the 1939 Act. At the respective times the Registration Statement (including any Rule 462(b) Registration Statement) and any post-effective amendments thereto (including the filing of the Company's most recent Annual Report on Form 10-K with the Commission (the "Annual Report on Form 10-K")) became effective and at each Representation Date, the Registration Statement (including any Rule 462(b) Registration Statement) and any amendments thereto complied and will comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations and the 1939 Act and the rules and regulations of the Commission under the 1939 Act (the "1939 Act Regulations") and did not and will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. At the date of the Prospectus, at the Representation Closing Time and at each Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from Delivery, if any, neither the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) nor any amendments and at Closing Time, does not and supplements thereto included or will not include an untrue statement of a material fact or omitted or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided. If the Company elects to rely upon Rule 434 of the 1933 Act Regulations, howeverthe Company will comply with the requirements of Rule 434. Notwithstanding the foregoing, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or the Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility Prospectus. Each preliminary prospectus and Qualification of a trustee under the 1939 Act prospectus filed as an exhibit to part of the Registration Statement (a “Form T-1”). For purposes as originally filed or as part of this Section 1(a)any amendment thereto, or filed pursuant to Rule 424 under the 1933 Act, complied when so filed in all references to material respects with the Registration Statement, any post-effective amendments thereto 1933 Act Regulations and each preliminary prospectus and the Prospectus shall delivered to the Underwriters for use in connection with the offering of Underwritten Securities will, at the time of such delivery, be deemed identical to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data GatheringXXXXX, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).except to the extent permitted by Regulation S-T.

Appears in 4 contracts

Samples: Underwriting Agreement (United States Cellular Corp), United States Cellular Corp, Underwriting Agreement (United States Cellular Corp)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of the 1933 Act Regulations that has been filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXXEXXXX”).

Appears in 4 contracts

Samples: Underwriting Agreement (Healthpeak Properties, Inc.), Underwriting Agreement (Healthpeak Properties, Inc.), Underwriting Agreement (Healthpeak Properties, Inc.)

Compliance with Registration Requirements. The Registration Statement is an Company has filed with the Securities and Exchange Commission (the automatic Commission”) a shelf registration statement” statement on Form S-3 (File No. 333-170374) under the Securities Act of 1933, as defined amended (the “1933 Act”), in respect of the Common Stock (including the Securities) on November 4, 2010, which contains a base prospectus, to be used in connection with the public offering and sale of the Securities; the Company satisfies all eligibility requirements for use of Form S-3 as contemplated by such registration statement and this Agreement; such registration statement became effective under Rule 405 of the 1933 Act Regulations that upon filing; the Company has complied to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information with respect to such registration statement or otherwise; no stop order suspending the effectiveness of such registration statement or any part thereof has been filed with the Commission not earlier than three years prior issued and no proceeding for that purpose has been initiated or, to the date hereof; knowledge of the Company, threatened by the Commission, and no notice of objection of the Commission to the use of such Registration Statement form of registration statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each Company (the base prospectus filed as part of such registration statement, in the Registration Statement and form in which it was filed with the Base Commission on or prior to the date of this Agreement, is hereinafter called the “Basic Prospectus”); the various parts of such registration statement, at the respective times the Registration Statement including all exhibits thereto and any post-effective amendments thereto became effective and as of prospectus supplement or prospectus relating to the Representation Date, complied and comply in all material respects Securities that is filed with the requirements Commission and deemed by virtue of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued 430B under the 1933 Act to be part of such registration statement (any such information that was omitted from such registration statement at the time it became effective but that was deemed to be a part and no proceedings for that purpose or included in such registration statement pursuant to Section 8A of Rule 430B under the 1933 Act against the Company or related is referred to the offering of the Securities have been instituted or are pending oras “430B Information”), to the knowledge of the Company, are contemplated by the Commission, and any request on the each as amended at each time such part of the Commission for additional information has been complied with. The Prospectusregistration statement became effective, at are hereinafter collectively called the Representation Date (unless the term Prospectus” refers to a Registration Statement”; each preliminary prospectus which has been provided to the Underwriters by the Company for use used in connection with the offering of the Securities which differs from that omitted Rule 430B Information, including the related Basic Prospectus in the form first filed by the Company pursuant to Rule 424(b) under the 1933 Act is herein called, a “Preliminary Prospectus”; the final prospectus supplement specifically relating to the Securities prepared and filed with the Commission pursuant to Rule 424(b) of under the 1933 Act Regulationsis hereinafter called the “Prospectus Supplement”; the Basic Prospectus, in which case at as amended and supplemented by the time it Prospectus Supplement, is first provided hereinafter called the “Prospectus”; any reference herein to the Underwriters for such use) Basic Prospectus, each Preliminary Prospectus or the Prospectus shall be deemed to refer to and at Closing Time, does not and will not include an untrue statement the documents incorporated by reference therein pursuant to Item 12 of a material fact or omit to state a material fact necessary in order to make Form S-3 under the statements therein, in the light of the circumstances under which they were made, not misleading1933 Act; provided, however, that no representation or warranty included in any exhibit to any such incorporated document, other than the representations and warranties in this subsection (iv) shall not apply contained herein, is deemed to statements in be made to you; any reference to any amendment or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished supplement to the Company in writing by Basic Prospectus, any Underwriter through the Representatives expressly for use in the Registration Statement Preliminary Prospectus or the Prospectus or the information contained in shall be deemed to refer to and include any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references post-effective amendment to the Registration Statement, any post-effective amendments thereto and prospectus supplement or base prospectus relating to the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof Securities filed with the Commission pursuant to its Electronic Data GatheringRule 424(b) under the 1933 Act and any documents filed under the Securities Exchange Act of 1934, Analysisas amended (the “1934 Act”), and Retrieval system incorporated therein, in each case after the date of the Basic Prospectus, each Preliminary Prospectus or its Interactive Data Electronic Applications system (collectivelythe Prospectus, “XXXXX”)as the case may be; any reference to any amendment to the Registration Statement shall be deemed to refer to and include any annual report of the Company filed pursuant to Section 13(a) or 15(d) of the 1934 Act after the effective date of the Registration Statement that is incorporated by reference in the Registration Statement.

Appears in 4 contracts

Samples: Underwriting Agreement (American Capital Agency Corp), Underwriting Agreement (American Capital Agency Corp), Underwriting Agreement (American Capital Agency Corp)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of the 1933 Act Regulations that Company has been prepared and filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement or any posta registration statement (File No. 333-effective amendment thereto pursuant to Rule 401(g)(2203147) of on Form N-2, including a related basic prospectus, for registration under the 1933 Act Regulations has been received by the Company. Each of the offering and sale of the Shares (the “Registration Statement and the Base ProspectusStatement”). Such Registration Statement, at the respective times the Registration Statement and including any post-effective amendments thereto became effective filed prior to the date and as of time that this Agreement is executed and delivered by the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended parties hereto (the “1939 ActExecution Time”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”)has become effective, and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No no stop order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act issued, and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities any such purpose, have been instituted or are pending or, to the knowledge of the Company, are contemplated have been threatened by the Commission, and any request on the part of the Commission for additional information with respect thereto has been complied with. The Company may have filed, as part of an amendment to the Registration Statement or pursuant to Rule 497 under the 1933 Act, one or more amendments thereto, each of which has previously been furnished to you. The Company will file with the Commission one or more prospectus supplements (collectively, the “Prospectus Supplement”) related to the Shares in accordance with Rule 497 under the 1933 Act. As filed, such Prospectus Supplement, together with the Basic Prospectus, shall contain all information required by the 1933 Act and the 1940 Act and, except to the extent the Manager shall agree in writing to a modification, shall be in all substantive respects in the form furnished to you prior to the Execution Time or prior to any such time this representation is repeated or deemed to be made. The Registration Statement, at the Representation Execution Time, as of the time of each sale of Shares pursuant to this Agreement (each, a “Time of Sale”), at each Settlement Date (unless the term “Prospectus” refers to as defined in Section 3(a)(vi) hereof), and at all times during which a prospectus which has been provided to the Underwriters is required by the Company for use 1933 Act to be delivered in connection with any sale of Shares, meets or will meet the offering requirements set forth in Rule 415(a)(1)(x) under the 1933 Act. On the Effective Date, the Registration Statement did, and when the Prospectus is first filed in accordance with Rule 497 under the 1933 Act, as of the Securities which differs from the Prospectus date that it is filed with the Commission pursuant Commission, the date of the Prospectus Supplement, as of each Time of Sale, at each Settlement Date, and at all times during which a prospectus is required by the 1933 Act to Rule 424(bbe delivered in connection with any sale of Shares, the Prospectus (and any supplements thereto) will, comply in all material respects with the applicable requirements of the 1933 Act Regulationsand the 1940 Act; on the Effective Date, in which case at the time it is first provided to the Underwriters for such use) Execution Time and, as amended or supplemented, as of each Time of Sale, at each Settlement Date and at Closing Timeall times during which a prospectus is required by the 1933 Act to be delivered in connection with any sale of Shares, does the Registration Statement did not and will not include an contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary in order to make the statements therein not misleading; and at no time during the period that begins on the date of the Prospectus Supplement and ends at the later of each Settlement Date and the end of the period during which a prospectus is required by the 1933 Act to be delivered in connection with any sale of Shares did or will the Prospectus, as then amended or supplemented, include any untrue statement of a material fact or omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the Company makes no representations and or warranties in this subsection (iv) shall not apply as to statements the information contained in or omissions omitted from the Registration Statement Statement, or the Prospectus made (or any supplement thereto), in reliance upon and in conformity with information furnished in writing to the Company in writing by any Underwriter through or on behalf of the Representatives expressly Manager specifically for use inclusion in the Registration Statement or the Prospectus (or any supplement thereto), it being understood and agreed that the only such information contained in any Statement furnished by the Manager consists of Eligibility and Qualification of a trustee the last paragraph under the 1939 Act filed as an exhibit to heading “Plan of Distribution”. The Commission has not issued any order preventing or suspending the Registration Statement (a “Form T-1”). For purposes use of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”)Prospectus.

Appears in 4 contracts

Samples: Equity Distribution Agreement (Main Street Capital CORP), Equity Distribution Agreement (Main Street Capital CORP), Equity Distribution Agreement (Main Street Capital CORP)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of the 1933 Act Regulations that Company has been filed with the Securities and Exchange Commission not earlier than three years prior to (the date hereof; and no notice of objection "Commission") a registration statement on Form S-3 (No. 333-______) covering the registration of the Commission to Securities under the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Securities Act of 19391933, as amended (the “1939 "1933 Act"), including the related preliminary prospectus. Promptly after execution and delivery of this Agreement, the Company will prepare and file a prospectus in accordance with the provisions of Rule 430A ("Rule 430A") of the rules and regulations of the Commission under the 1939 1933 Act (the “1939 "1933 Act Regulations”), ") and did not and as paragraph (b) of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date Rule 424 (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to "Rule 424(b)") of the 1933 Act Regulations, . The information included in which case such prospectus that was omitted from such registration statement at the time it became effective but that is first provided deemed to be part of such registration statement at the time it became effective pursuant to paragraph (b) of Rule 430A is referred to as "Rule 430A Information". Each prospectus used before such registration statement became effective, and any prospectus that omitted, as applicable, the Rule 430A Information that was used after such effectiveness and prior to the Underwriters for such useexecution and delivery of this Agreement, is herein called a "preliminary prospectus." Such registration statement, including the exhibits thereto, the documents incorporated therein by reference and schedules thereto at the time it became effective and including the Rule 430A Information is herein called the "Registration Statement." Any registration statement filed pursuant to Rule 462(b) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that 1933 Act Regulations is herein referred to as the representations and warranties in this subsection (iv"Rule 462(b) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto ," and after such filing the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).term "

Appears in 3 contracts

Samples: Underwriting Agreement (Oriental Financial Group Inc), Underwriting Agreement (Oriental Financial Group Inc), Underwriting Agreement (Oriental Financial Group Inc)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement,” as defined under in Rule 405 of under the 1933 Act Regulations that has been filed Securities Act, and became effective upon its filing with the Commission on March 2, 2016. The Company has not earlier than three years prior to the date hereof; and no notice of objection of received from the Commission to the use of such Registration Statement or any post-effective amendment thereto notice pursuant to Rule 401(g)(2) under the Securities Act objecting to the Company’s use of the 1933 Act Regulations automatic shelf registration form. The Company has been received by complied, to the CompanyCommission’s satisfaction with all requests of the Commission for additional or supplemental information, if any. Each No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission. At the time the Company’s Annual Report on Form 10-K for the year ended December 31, 2015 (the “Annual Report”) was filed with the Commission, or, if later, at the time the Registration Statement was originally filed with the Commission, as well as at the time the Company or any person acting on its behalf (within the meaning, for this clause only, of Rule 163(c) under the Securities Act) made any offer relating to the Offered Shares in reliance on the exemption of Rule 163 under the Securities Act, the Company was a “well known seasoned issuer” as defined in Rule 405 under the Securities Act. The Company meets the requirements for use of Form S-3 under the Securities Act specified in FINRA Conduct Rule 5110(B)(7)(C)(i). The documents incorporated or deemed to be incorporated by reference in the Registration Statement, the Time of Sale Prospectus and the Base Prospectus, at the respective times time they were or hereafter are filed with the Registration Statement and any post-effective amendments thereto Commission, or became effective and under the Exchange Act, as of the Representation Datecase may be, complied and will comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Exchange Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 3 contracts

Samples: Underwriting Agreement (PRA Health Sciences, Inc.), Underwriting Agreement (PRA Health Sciences, Inc.), Underwriting Agreement (PRA Health Sciences, Inc.)

Compliance with Registration Requirements. The Fund meets the requirements of General Instruction 1.A of Form S-3, has been registered as an investment company pursuant to Section 8(e) of the 1940 Act for at least twelve calendar months and has timely filed all reports required to be filed under Section 30 of the 1940 Act for the past twelve calendar months. The Registration Statement is an “automatic shelf registration statement” (as defined under in Rule 405 405) and the Securities have been and remain eligible for registration by the Fund on such automatic shelf registration statement. Each of the Registration Statement and any post-effective amendment thereto has become effective under the 1933 Act Regulations that has been filed with Act. No stop order suspending the Commission not earlier than three years prior to the date hereof; and no notice of objection effectiveness of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act Act, no order preventing or suspending the use of the Preliminary Prospectus or the Prospectus has been issued and no proceedings for that purpose any of those purposes have been instituted or are pending or, to the Fund’s knowledge, contemplated, and no order of suspension or revocation of the registration of the Fund pursuant to Section 8A 8(e) of the 1933 1940 Act against the Company or related to the offering of the Securities has been issued, and no proceedings for any such purpose have been instituted or are pending or, to the knowledge of the CompanyFund or the Advisers, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The ProspectusEach of the Registration Statement and any post-effective amendment thereto, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided time of its effectiveness and at each deemed effective date with respect to the Underwriters by Underwriter pursuant to Rule 430B(f)(2) under the Company 1933 Act Regulations, and the notification on Form N-8A and any amendments at the Time of Sale and the Closing Time complied and will comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations, the 1940 Act and the 1940 Act Regulations. The Preliminary Prospectus, the Prospectus and any amendment or supplement thereto, at the time each was filed with the Commission, and, in each case, at the Time of Sale and the Closing Time complied and will comply in all material respects with the requirements of the 1933 Act, the 1933 Act Regulations, the 1940 Act and the 1940 Act Regulations and the Preliminary Prospectus and the Prospectus delivered to the Underwriter for use in connection with the this offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided were and will be identical to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data GatheringXXXXX, Analysisexcept to the extent permitted by Regulation S-T. The documents incorporated or deemed to be incorporated by reference in the Registration Statement, the Time of Sale Prospectus and the Prospectus, when they became effective or at the time they were or hereafter are filed with the Commission, complied and will comply in all material respects with the requirements of the 1934 Act, and Retrieval system or its Interactive Data Electronic Applications system the rules and regulations of the Commission thereunder (collectively, the XXXXX1934 Act Regulations”), and the 1940 Act and the 1940 Act Regulations.

Appears in 3 contracts

Samples: Underwriting Agreement (Nuveen AMT-Free Municipal Credit Income Fund), Underwriting Agreement (Nuveen AMT-Free Municipal Credit Income Fund), Underwriting Agreement (Nuveen AMT-Free Quality Municipal Income Fund)

Compliance with Registration Requirements. (A) At the time that the Registration Statement was originally filed, (B) at the time of the most recent amendment thereto for the purposes of complying with Section 10(a)(3) of the 1933 Act (whether such amendment was by post-effective amendment, incorporated report filed pursuant to Section 13 or 15(d) of the 1934 Act or form of prospectus), (C) at the time the Company or any person acting on its behalf (within the meaning, for this clause only, of Rule 163(c) of the 1933 Act Regulations) made any offer relating to the Securities in reliance on the exemption of Rule 163 of the 1933 Act Regulations and (D) at the date hereof, the Company (x) was and is a “well-known seasoned issuer” as defined in Rule 405 of the 1933 Act Regulations (“Rule 405”) and (y) was not and is not an “ineligible issuer” as defined in Rule 405. The Registration Statement is an “automatic shelf registration statement,” as defined under in Rule 405 of 405, and the 1933 Act Regulations that Securities, since their registration on the Registration Statement, have been and remain eligible for registration by the Company on an “automatic shelf registration statement” as defined in Rule 405. The Company has been filed with not received from the Commission not earlier than three years prior to the date hereof; and no any notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by (“Rule 401(g)(2)”) objecting to the Companyuse of the automatic shelf registration statement form. Each At the earliest time after the original filing of the Registration Statement and that the Base Prospectus, at Company or another offering participant (with respect to the respective times offering contemplated hereby) made a bona fide offer (within the Registration Statement and any post-effective amendments thereto became effective and as meaning of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a164(h)(2) of the 1933 Act Regulations)) of the Securities, and the Company was not an “ineligible issuer,” as defined in Rule 405. The Indenture has been duly qualified under the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations Trustee has duly filed with the Commission a Statement of Eligibility on Form T-1 as an exhibit to the Registration Statement or pursuant to Section 305(b)(2) of the Commission 1939 Act. The Registration Statement became effective upon filing under Rule 462(e) of the 1939 1933 Act Regulations (the 1939 Act RegulationsRule 462(e))) on November 5, 2018, and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleadingany post-effective amendment thereto also became effective upon filing under Rule 462(e). No stop order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to Any offer that was a prospectus which has been provided written communication relating to the Underwriters Securities made by the Company or any person acting on its behalf (within the meaning, for use in connection with the offering this paragraph only, of Rule 163(c) of the Securities which differs from 1933 Act Regulations) prior to the Prospectus time that the Registration Statement was originally filed has been filed with the Commission in accordance with the exemption provided by Rule 163 of the 1933 Act Regulations (“Rule 163”) and otherwise complied with the requirements of Rule 163, including without limitation the legending requirement, to qualify such offer for the exemption from Section 5(c) of the 1933 Act provided by Rule 163. At the respective times the Registration Statement originally became effective and any amendment thereto became effective, at the time the Company’s most recent Annual Report on Form 10-K was filed with the Commission, at each “new effective date” with respect to the Underwriters pursuant to Rule 424(b430B(f)(2) of the 1933 Act Regulations, in which case and at the time it is first provided to the Underwriters for such use) and at Closing Time, does the Registration Statement and any amendments and supplements thereto complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1933 Act Regulations, the 1939 Act, and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and will not include contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading, and, at the date hereof and at the Closing Time, neither the Prospectus nor any amendments or supplements thereto contained or will contain any untrue statement of a material fact or omitted or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations . Each preliminary prospectus and warranties in this subsection (iv) shall not apply to statements in or omissions from Prospectus filed as part of the Registration Statement as originally filed or as part of any amendment thereto, or filed pursuant to Rule 424 under the 1933 Act, complied when so filed in all material respects with the 1933 Act and the 1933 Act Regulations and, if applicable, each preliminary prospectus and the Prospectus made in reliance upon and in conformity with information furnished delivered to the Company in writing by any Underwriter through the Representatives expressly Underwriters for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit connection with this offering was identical to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data GatheringEXXXX, Analysisexcept to the extent permitted by Regulation S-T of the Commission. As of the Applicable Time, neither (x) all Issuer General Use Free Writing Prospectuses (as defined below) issued at or prior to the Applicable Time (including, without limitation, the Pricing Term Sheet, as hereinafter defined) and Retrieval system or its Interactive Data Electronic Applications system the Statutory Prospectus, considered together (collectively, the XXXXXGeneral Disclosure Package”)., nor (y) any individual Issuer Limited Use Free Writing Prospectus, when considered together with the General Disclosure Package, included or will include any untrue statement of a material fact or omitted or will omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. As used in this subsection and elsewhere in this Agreement:

Appears in 3 contracts

Samples: Purchase Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp)

Compliance with Registration Requirements. The Registration Statement is Company meets the requirements for use of an “automatic shelf registration statementregistration” as defined under in Rule 405 of the 1933 Act Regulations that has been filed with the Commission not earlier than three years prior to the date hereof; rules and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) regulations of the 1933 Act Regulations has (the “Rules and Regulations”) on Form S-3 under the 1933 Act and the Securities have been received by duly registered under the Company1933 Act pursuant to the Registration Statement. Each of the Registration Statement and the Base Prospectus, at the respective times the Initial Registration Statement and any post-effective amendments thereto became were effective and as of the Representation Date, complied and comply in all material respects with the requirements of upon filing under the 1933 Act and any Rule 462(b) Registration Statement has become effective under the 1933 Act Regulations or, not later than 8:00 a.m. (including Rule 415(aNew York City time) on the business day immediately after the date of this Agreement, will become effective under the 1933 Act Regulations)Act, and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No no stop order suspending the effectiveness of the Initial Registration Statement or any Rule 462(b) Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, no notice of objection of the Commission to the use of such registration statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the Rules and Regulations has been received by the Company (the prospectus filed as part of such automatic shelf registration statement in the form in which it has most recently been filed with the Commission on or prior to the date of this Agreement, is hereinafter called the “Base Prospectus”) and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus Initial Registration Statement was initially filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulationson October 2, in which case at the time it is first provided to the Underwriters for such use) 2017 and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance became effective upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”)filing.

Appears in 3 contracts

Samples: Underwriting Agreement (Zogenix, Inc.), Underwriting Agreement (Zogenix, Inc.), Underwriting Agreement (Zogenix, Inc.)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of the 1933 Act Regulations that has been filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters you by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters you for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives you expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 3 contracts

Samples: Underwriting Agreement (Hcp, Inc.), Underwriting Agreement (Hcp, Inc.), Underwriting Agreement (Hcp, Inc.)

Compliance with Registration Requirements. (A) The Company meets the requirements for use of Form S-3 under the 1933 Act. The Registration Statement is an “automatic shelf registration statement” as defined became effective upon filing and any post-effective amendment thereto has become effective under Rule 405 of the 1933 Act Regulations that has been filed with Act. No stop order suspending the Commission not earlier than three years prior effectiveness, or any written or oral notice to the date hereof; and no notice of objection of the Commission Company objecting to the use of such the Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued by the Commission under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus may have filed with the Commission Commission, as part of an amendment to the Registration Statement or pursuant to Rule 424(b), one or more preliminary prospectus supplements relating to the Securities, each of which has previously been furnished to you. The Company will file with the Commission a final prospectus supplement relating to the Securities in accordance with the provisions of paragraph (b) of Rule 424 (“Rule 424(b)”) of the 1933 Act Regulations. As filed, such final prospectus supplement shall contain all information required by the 1933 Act and the 1933 Act Regulations, and, except to the extent the Representatives shall agree in which case writing to a modification, shall be in all substantive respects in the form furnished to you prior to the Execution Time or, to the extent not completed at the time it is first provided Execution Time, shall contain only such specific additional information and other changes (beyond that contained in the Base Prospectus and any preliminary prospectus) as the Company has advised you, prior to the Underwriters for such use) and at Closing Execution Time, does not and will not include an untrue statement of a material fact be included or omit to state a material fact necessary in order to make the statements made therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the The Registration Statement, any post-effective amendments thereto and at the Prospectus shall be deemed to includeExecution Time, without limitation, any electronically transmitted copies thereof filed with meets the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”requirements set forth in Rule 415(a)(1)(x).

Appears in 3 contracts

Samples: Purchase Agreement (Puget Sound Energy Inc), Purchase Agreement (Puget Sound Energy Inc), Purchase Agreement (Puget Sound Energy Inc)

Compliance with Registration Requirements. The Registration Statement is an Company has filed with the Securities and Exchange Commission (the automatic Commission”) a shelf registration statement” statement on Form S‑3 (File No. 333‑225628) under the Securities Act of 1933, as defined amended (the “1933 Act”), in respect of the Preferred Stock and Depositary Shares (including the Securities and the Company’s common stock, par value $0.01 per share (the “Common Stock”)) on June 14, 2018, which contains a base prospectus, to be used in connection with the public offering and sale of the Securities and the shares of Common Stock issuable upon conversion of the Securities; the Company satisfies all eligibility requirements for use of Form S‑3 as contemplated by such registration statement and this Agreement; such registration statement became effective on June 14, 2018 under Rule 405 of 462(e) the 1933 Act Regulations that (“Rule 462(e)”) upon filing, and any post-effective amendment thereto also became effective upon filing under Rule 462(e); the Company has complied to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information with respect to such registration statement or otherwise; no stop order suspending the effectiveness of such registration statement or any part thereof has been filed with the Commission not earlier than three years prior issued and no proceeding for that purpose has been initiated or, to the date hereof; knowledge of the Company, threatened by the Commission, and no notice of objection of the Commission to the use of such Registration Statement form of registration statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each Company (the base prospectus filed as part of such registration statement, in the Registration Statement and form in which it was filed with the Commission on or prior to the date of this Agreement, is hereinafter called the “Base Prospectus”); the various parts of such registration statement, at the respective times the Registration Statement including all exhibits thereto and any post-effective amendments thereto became effective and as of prospectus supplement or prospectus relating to the Representation Date, complied and comply in all material respects Securities that is filed with the requirements Commission and deemed by virtue of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued 430B under the 1933 Act to be part of such registration statement (any such information that was omitted from such registration statement at the time it became effective but that was deemed to be a part and no proceedings for that purpose or included in such registration statement pursuant to Section 8A of Rule 430B under the 1933 Act against the Company or related is referred to the offering of the Securities have been instituted or are pending oras “430B Information”), to the knowledge of the Company, are contemplated by the Commission, and any request on the each as amended at each time such part of the Commission for additional information has been complied with. The Prospectusregistration statement became effective, at are hereinafter collectively called the Representation Date (unless the term Prospectus” refers to a Registration Statement”; each preliminary prospectus which has been provided to the Underwriters by the Company for use used in connection with the offering of the Securities which differs from that omitted Rule 430B Information, including the related Base Prospectus in the form first filed by the Company pursuant to Rule 424(b) under the 1933 Act is herein called, a “Preliminary Prospectus”; the final prospectus supplement specifically relating to the Securities prepared and filed with the Commission pursuant to Rule 424(b) of under the 1933 Act Regulationsis hereinafter called the “Prospectus Supplement”; the Base Prospectus, in which case at as amended and supplemented by the time it Prospectus Supplement, is first provided hereinafter called the “Prospectus”; any reference herein to the Underwriters for such use) Base Prospectus, each Preliminary Prospectus or the Prospectus shall be deemed to refer to and at Closing Time, does not and will not include an untrue statement the documents incorporated by reference therein pursuant to Item 12 of a material fact or omit to state a material fact necessary in order to make Form S‑3 under the statements therein, in the light of the circumstances under which they were made, not misleading1933 Act; provided, however, that no representation or warranty included in any exhibit to any such incorporated document, other than the representations and warranties in this subsection (iv) shall not apply contained herein, is deemed to statements in be made to you; any reference to any amendment or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished supplement to the Company in writing by Base Prospectus, any Underwriter through the Representatives expressly for use in the Registration Statement Preliminary Prospectus or the Prospectus or the information contained in shall be deemed to refer to and include any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references post-effective amendment to the Registration Statement, any post-effective amendments thereto and prospectus supplement or base prospectus relating to the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof Securities filed with the Commission pursuant to its Electronic Data GatheringRule 424(b) under the 1933 Act and any documents filed under the Securities Exchange Act of 1934, Analysisas amended (the “1934 Act”), and Retrieval system incorporated therein, in each case after the date of the Base Prospectus, each Preliminary Prospectus or its Interactive Data Electronic Applications system (collectivelythe Prospectus, “XXXXX”)as the case may be; any reference to any amendment to the Registration Statement shall be deemed to refer to and include any annual report of the Company filed pursuant to Section 13(a) or 15(d) of the 1934 Act after the effective date of the Registration Statement that is incorporated by reference in the Registration Statement.

Appears in 3 contracts

Samples: Underwriting Agreement (AGNC Investment Corp.), Underwriting Agreement (AGNC Investment Corp.), Underwriting Agreement (AGNC Investment Corp.)

Compliance with Registration Requirements. (A) At the time of filing the Original Registration Statement, (B) at the time of the most recent amendment thereto, if any, for the purposes of complying with Section 10(a)(3) of the 1933 Act (whether such amendment was by post-effective amendment, incorporated report filed pursuant to Section 13 or 15(d) of the 1934 Act or form of prospectus), (C) at the time the Company or any person acting on its behalf (within the meaning, for this clause only, of Rule 163(c) of the 1933 Act Regulations) made any offer relating to the Notes in reliance on the exemption provided by Rule 163 of the 1933 Act Regulations (“Rule 163”) and (D) at the date hereof, the Company was and is a “well-known seasoned issuer” as defined in Rule 405 of the 1933 Act Regulations (“Rule 405”), including not having been and not being an “ineligible issuer” as defined in Rule 405. The Registration Statement is an “automatic shelf registration statement,” as defined under in Rule 405, and the Notes, since their registration on the Registration Statement, have been and remain eligible for registration by the Company on a Rule 405 of the 1933 Act Regulations that “automatic shelf registration statement.” The Company has been filed with not received from the Commission not earlier than three years prior to the date hereof; and no any notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by objecting to the Company. Each use of the automatic shelf registration statement form. At the time of filing the Original Registration Statement and the Base ProspectusStatement, at the respective times earliest time thereafter that the Registration Statement and any post-effective amendments thereto became effective and as Company or another offering participant made a bona fide offer (within the meaning of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a164(h)(2) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case Notes and at the time it is first provided to date hereof, the Underwriters for such use) and at Closing Time, does Company was not and will is not include an untrue statement of a material fact or omit to state a material fact necessary “ineligible issuer,” as defined in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”)Rule 405.

Appears in 3 contracts

Samples: Underwriting Agreement (Select Income Reit), Underwriting Agreement (Government Properties Income Trust), Underwriting Agreement (Government Properties Income Trust)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of the 1933 Act Regulations that Company has been prepared and filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement or any posta registration statement (File No. 333-effective amendment thereto pursuant to Rule 401(g)(2230351) of on Form N-2, including a related basic prospectus, for registration under the 1933 Act Regulations has been received by of the offering and sale of certain securities of the Company, including the Shares. Each of the Such Registration Statement and the Base ProspectusStatement, at the respective times the Registration Statement and including any post-effective amendments thereto became effective filed prior to the date and as of time that this Agreement is executed and delivered by the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended parties hereto (the “1939 ActExecution Time”), has become effective and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No no stop order suspending the effectiveness of the Registration Statement (and the Registration Statement as amended by any post-effective amendment if the Company shall have made any amendments thereto after the effective date of the Registration Statement) has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Company may have filed, as part of an amendment to the Registration Statement or pursuant to Rule 497 under the 1933 Act or such other 1933 Act rule as may be applicable to the Company, one or more amendments thereto, each of which has previously been furnished to you. The Company will file with the Commission one or more prospectus supplements (collectively, the “Prospectus Supplement”) related to the Shares in accordance with Rule 497 under the 1933 Act, or such other 1933 Act rule as may be applicable to the Company, including all documents incorporated or deemed to be incorporated therein by reference pursuant to the SBCAA or the rules or regulations of the Commission. As filed, such Prospectus Supplement, together with the Basic Prospectus, shall contain all information required by the 1933 Act and the 1940 Act and, except to the extent the Manager shall agree in writing to a modification, shall be in all substantive respects in the form furnished to you prior to the Execution Time or prior to any such time this representation is repeated or deemed to be made. The Registration Statement, at the Representation Execution Time, as of the time of each sale of Shares pursuant to this Agreement (each, a “Time of Sale”), at each Settlement Date (unless the term “Prospectus” refers to as defined in Section 4(a)(vi) hereof), and at all times during which a prospectus which has been provided to the Underwriters is required by the Company for use 1933 Act to be delivered in connection with any sale of Shares, meets or will meet the offering requirements set forth in Rule 415(a)(1)(x) under the 1933 Act. On the Effective Date, the Registration Statement did, and when the Prospectus is first filed in accordance with Rule 497 under the 1933 Act, or such other 1933 Act rule as may be applicable to the Company, as of the Securities which differs from the Prospectus date that it is filed with the Commission pursuant Commission, the date of the Prospectus Supplement, as of each Time of Sale, at each Settlement Date, and at all times during which a prospectus is required by the 1933 Act to Rule 424(bbe delivered in connection with any sale of Shares, the Prospectus (and any supplements thereto) will comply in all material respects with the applicable requirements of the 1933 Act Regulationsand the 1940 Act; on the Effective Date, at the Execution Time and, as amended or supplemented, as of each Time of Sale, at each Settlement Date and at all times during which a prospectus is required by the 1933 Act to be delivered in connection with any sale of Shares, the Registration Statement did not and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary in order to make the statements therein not misleading; and at no time during the period that begins on the date of the Prospectus Supplement and ends at the later of each Settlement Date and the end of the period during which a prospectus is required by the 1933 Act to be delivered in connection with any sale of Shares did or will the Prospectus, as then amended or supplemented, include any untrue statement of a material fact or omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which case they were made, not misleading; provided, however, that the Company makes no representations or warranties as to the information contained in or omitted from the Registration Statement, or the Prospectus (or any amendment or supplement thereto), in reliance upon and in conformity with information furnished in writing to the Company by or on behalf of the Manager specifically for inclusion in the Registration Statement or the Prospectus (or any amendment or supplement thereto), it being understood and agreed that the only such information furnished by the Manager consists of the name and address of the Manager set forth in the last paragraph under the heading “Plan of Distribution —Conflicts of Interest” in the Prospectus. The Commission has not issued any order preventing or suspending the use of the Prospectus. The documents incorporated or deemed to be incorporated by reference in the Registration Statement and the Prospectus (or any amendment or supplement thereto) (i) at the time it is first provided to they were or hereafter are filed with the Underwriters for such useCommission, complied or will comply in all material respects with the requirements of the Securities Exchange Act of 1934, as amended, and the rules and regulations of the Commission thereunder (collectively called the “Exchange Act”) and (ii) at Closing Timethe time they were or hereafter are filed with the Commission, does when read together with the other information in the Registration Statement or the Prospectus, as the case may be, did not and or will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 3 contracts

Samples: Equity Distribution Agreement (Ares Capital Corp), Equity Distribution Agreement (Ares Capital Corp), Equity Distribution Agreement (Ares Capital Corp)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of the 1933 Act Regulations that has been filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement registration statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters you by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters you for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives you expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 3 contracts

Samples: Underwriting Agreement (Hcp, Inc.), Underwriting Agreement (Hcp, Inc.), Underwriting Agreement (Health Care Property Investors Inc)

Compliance with Registration Requirements. The A registration statement on Form S-3 (Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 No. 333-_____) in respect of the 1933 Act Regulations that Securities has been filed with the Securities and Exchange Commission not earlier than three years prior to (the date hereof; "Commission"). Such registration statement and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto registration statement filed pursuant to Rule 401(g)(2462(b) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 "1933 Act Regulations"), hereinafter referred to as the "Rule 462(b) Registration Statement," in the form heretofore delivered or to be delivered to the Underwriters, excluding exhibits to such registration statement, but including all documents incorporated by reference in the prospectus included therein (except for any statements in such documents which are deemed under Rule 412 under the Securities Act of 1933, as amended (the "1933 Act"), not to be incorporated by reference in such Prospectus), and did not such registration statement and as of any Rule 462(b) Registration Statement in such form has been declared effective by the Representation Date Commission and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No no stop order suspending the effectiveness of the such registration statement and any Rule 462(b) Registration Statement has been issued under the 1933 Act and no proceedings proceeding for that purpose has been initiated or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated threatened by the CommissionCommission (any preliminary prospectus included in such registration statement being hereinafter called a "Preliminary Prospectus"; the various parts of such registration statement, including all exhibits thereto but excluding Form T-1, each as amended at the time such part became effective, and any request on Rule 462(b) Registration Statement, being hereinafter collectively called the part of "Registration Statement"; the Commission for additional information has been complied with. The Prospectusprospectus (including, at the Representation Date (unless the term “Prospectus” refers to a if applicable, any prospectus which has been provided supplement) relating to the Underwriters by Underwritten Securities, in the Company form in which it has most recently been filed, or transmitted for use in connection with the offering of the Securities which differs from the Prospectus filed filing, with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided on or prior to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes date of this Section 1(a)Underwriting Agreement, all references being hereinafter called the "Prospectus"; any reference herein to the Registration Statement, any post-effective amendments thereto and Preliminary Prospectus or the Prospectus shall be deemed to includerefer to and include the documents incorporated by reference therein pursuant to the applicable form under the 1933 Act as of the date of such Registration Statement, without limitationPreliminary Prospectus or Prospectus, as the case may be; any electronically reference to any amendment or supplement to any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include any documents filed after the date of such Preliminary Prospectus or Prospectus, as the case may be, under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and incorporated therein by reference; and any reference to the Prospectus as amended or supplemented shall be deemed to refer to the Prospectus as each time amended or supplemented to relate to Underwritten Securities sold pursuant to this Underwriting Agreement, in the form in which it is filed with, or transmitted copies thereof filed with for filing to, the Commission pursuant to its Electronic Data GatheringRule 424 under the 1933 Act Regulations, Analysis, and Retrieval system including any documents incorporated therein by reference as of the date of such filing or its Interactive Data Electronic Applications system (collectively, “XXXXX”mailing).

Appears in 3 contracts

Samples: Terms Agreement (Caterpillar Financial Services Corp), Terms Agreement (Caterpillar Financial Services Corp), Terms Agreement (Caterpillar Financial Services Corp)

Compliance with Registration Requirements. The Registration Statement is Company meets the requirements for use of Form S-3 under the 1933 Act and has filed with the Securities and Exchange Commission (the “Commission”) an automatic shelf registration statement, as defined in Rule 405, on Form S-3 (File No. 333-228108) covering the registration of the Securities under the 1933 Act, including a related Base Prospectus. The Company may have filed with the Commission, as part of an amendment to the Registration Statement or pursuant to Rule 405 424(b) (“Rule 424(b)”) of the rules and regulations of the Commission under the 1933 Act Regulations that (the “1933 Act Regulations”), one or more preliminary prospectus supplements relating to the Securities, each of which has previously been filed furnished to you. Promptly after execution and delivery of this Agreement, the Company will prepare and file a final prospectus supplement relating to the Securities in accordance with Rule 424(b). As filed, such final prospectus supplement shall contain all information required by the Commission not earlier than three years 1933 Act and the 1933 Act Regulations, and, except to the extent the Representatives shall agree in writing to a modification, shall be in all substantive respects in the form furnished to you prior to the Execution Time or, to the extent not completed at the Execution Time, shall contain only such specific additional information and other changes (beyond that contained in the Base Prospectus and any Preliminary Prospectus) as the Company has advised you, prior to the Execution Time, will be included or made therein. The Registration Statement, at the Execution Time, meets the requirements set forth in Rule 415(a)(1)(x). For purposes of this Agreement, all references to the Registration Statement, the Base Prospectus, any Preliminary Prospectus, the Final Prospectus or any amendment or supplement to any of the foregoing shall be deemed to include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 which were filed under the 1934 Act on or before the Effective Date of the Registration Statement or the issue date hereofof the Base Prospectus, any Preliminary Prospectus or the Final Prospectus, as the case may be; and no notice any reference herein to the terms “amend,” “amendment” or “supplement” with respect to the Registration Statement, the Base Prospectus, any Preliminary Prospectus or the Final Prospectus shall be deemed to refer to and include the filing of objection any document under the 1934 Act after the Effective Date of the Commission Registration Statement or the issue date of the Base Prospectus, any Preliminary Prospectus or the Final Prospectus, as the case may be, deemed to be incorporated therein by reference. Each of the use Registration Statement and any post-effective amendment thereto has become effective under the 1933 Act and no stop order suspending the effectiveness of such the Registration Statement or any post-effective amendment thereto pursuant or notice objecting to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement its use has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The ProspectusOn each Effective Date, the Registration Statement did, and when the Final Prospectus is first filed in accordance with Rule 424(b) and at the Representation Date Closing Time, the Final Prospectus (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use and any supplement thereto) will, comply in connection all material respects with the offering applicable requirements of the Securities which differs from 1933 Act and the Prospectus filed 1933 Act Regulations, the 1934 Act and the respective rules thereunder (the “1934 Act Regulations”) and the 1939 Act and the respective rules thereunder (the “1939 Act Regulations”); on each Effective Date and at the Execution Time, the Registration Statement did not and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary in order to make the statements therein not misleading; on each Effective Date and at the Closing Time the Indenture did comply in all material respects with the Commission applicable requirements of the 1939 Act and the 1939 Act Regulations, and on the date of any filing pursuant to Rule 424(b) of the 1933 Act Regulations, in which case and at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and the Final Prospectus (together with any supplement thereto) will not include an any untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the Company makes no representations or warranties as to (i) that part of the Registration Statement which shall constitute the Statement of Eligibility and warranties in this subsection Qualification (ivForm T-1) shall not apply to statements under the 1939 Act of the Trustee or (ii) the information contained in or omissions omitted from the Registration Statement or the Final Prospectus made (or any supplement thereto) in reliance upon and in conformity with information furnished in writing to the Company in writing by or on behalf of any Underwriter through the Representatives expressly specifically for use inclusion in the Registration Statement or the Final Prospectus (or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”supplement thereto).

Appears in 3 contracts

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

Compliance with Registration Requirements. The Registration Statement is Company has filed with the Securities and Exchange Commission (the “Commission”) an “automatic shelf registration statement” as defined under Rule 405 under the Securities Act of 1933, as amended (the “1933 Act”), on Form S-3 (File No. 333-165165), in respect of the 1933 Act Regulations that has been filed with Company’s Common Stock (including the Commission Shares) (collectively, the “Securities”) not earlier than three years prior to the date hereof; such registration statement, and any post-effective amendment thereto, became effective on filing; and no stop order suspending the effectiveness of such registration statement or any part thereof has been issued and no proceeding for that purpose has been initiated or, to the knowledge of the Company, threatened by the Commission, and no notice of objection of the Commission to the use of such Registration Statement form of registration statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of under the 1933 Act Regulations has been received by the Company. Each Company (the base prospectus filed as part of such registration statement, in the form in which it has most recently been filed with the Commission on or prior to the date of this Agreement, is hereinafter called the “Basic Prospectus”; the various parts of such registration statement, excluding any Form T-1 but including all other exhibits thereto and any prospectus supplement or prospectus relating to the Shares that is filed with the Commission and deemed by virtue of Rule 430B under the 1933 Act to be part of such registration statement, each as amended at the time such part of the registration statement became effective, are hereinafter collectively called the “Registration Statement Statement”; the prospectus supplement specifically relating to the Shares prepared and filed with the Base Commission pursuant to Rule 424(b) under the 1933 Act is hereinafter called the “Prospectus Supplement”; the Basic Prospectus, at as amended and supplemented by the respective times Prospectus Supplement, is hereinafter called the Registration Statement “Prospectus”; any reference herein to the Basic Prospectus, the Prospectus Supplement or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under the 1933 Act; any reference to any amendment or supplement to the Basic Prospectus, the Prospectus Supplement or the Prospectus shall be deemed to refer to and include any post-effective amendments thereto became effective amendment to the Registration Statement, any prospectus supplement or base prospectus relating to the Shares filed with the Commission pursuant to Rule 424(b) under the 1933 Act and any documents filed under the Securities Exchange Act of 1934, as amended (the “1934 Act”), and incorporated therein, in each case after the date of the Representation DateBasic Prospectus, complied the Prospectus Supplement or the Prospectus, including any amendments or supplements thereto, as the case may be; any reference to any amendment to the Registration Statement shall be deemed to refer to and comply include any documents filed under the 1934 Act after the date of this Agreement and incorporated by reference in the Registration Statement; and any “issuer free writing prospectus” as defined in Rule 433 under the 1933 Act relating to the Shares that (i) is required to be filed with the Commission by the Company, (ii) is a “road show” that is a “written communication” within the meaning of Rule 433(d)(8)(i) whether or not required to be filed with the Commission or (iii) is exempt from filing pursuant to Rule 433(d)(5)(i) because it contains a description of the Securities or of the offering that does not reflect the final terms is hereinafter called an “Issuer Free Writing Prospectus”). No order preventing or suspending the use of the Basic Prospectus, the Prospectus Supplement, the Prospectus or any Issuer Free Writing Prospectus has been issued by the Commission, and the Basic Prospectus and the Prospectus Supplement, at the time of filing thereof, conformed in all material respects with to the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act thereunder (the “1939 1933 Act Regulations”), ) and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 3 contracts

Samples: Equity Offeringsm Sales Agreement (Home Properties Inc), Common Stock (Home Properties Inc), Common Stock (Home Properties Inc)

Compliance with Registration Requirements. (A) At the time that the Registration Statement was originally filed, (B) at the time of the most recent amendment thereto for the purposes of complying with Section 10(a)(3) of the 1933 Act (whether such amendment was by post-effective amendment, incorporated report filed pursuant to Section 13 or 15(d) of the 1934 Act or form of prospectus), (C) at the time the Company or any person acting on its behalf (within the meaning, for this clause only, of Rule 163(c) of the 1933 Act Regulations) made any offer relating to the Securities in reliance on the exemption of Rule 163 of the 1933 Act Regulations and (D) at the date hereof, the Company (x) was and is a “well-known seasoned issuer” as defined in Rule 405 of the 1933 Act Regulations (“Rule 405”) and (y) was not and is not an “ineligible issuer” as defined in Rule 405. The Registration Statement is an “automatic shelf registration statement,” as defined under in Rule 405 of 405, and the 1933 Act Regulations that Securities, since their registration on the Registration Statement, have been and remain eligible for registration by the Company on an “automatic shelf registration statement” as defined in Rule 405. The Company has been filed with not received from the Commission not earlier than three years prior to the date hereof; and no any notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by (“Rule 401(g)(2)”) objecting to the Companyuse of the automatic shelf registration statement form. Each At the earliest time after the original filing of the Registration Statement and that the Base Prospectus, at Company or another offering participant (with respect to the respective times offering contemplated hereby) made a bona fide offer (within the Registration Statement and any post-effective amendments thereto became effective and as meaning of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a164(h)(2) of the 1933 Act Regulations)) of the Securities, and the Company was not an “ineligible issuer,” as defined in Rule 405. The Indenture has been duly qualified under the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations Trustee has duly filed with the Commission a Statement of Eligibility on Form T-1 as an exhibit to the Registration Statement or pursuant to Section 305(b)(2) of the Commission 1939 Act. The Registration Statement became effective upon filing under Rule 462(e) of the 1939 1933 Act Regulations (the 1939 Act RegulationsRule 462(e))) on February 22, 2013, and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleadingany post-effective amendment thereto also became effective upon filing under Rule 462(e). No stop order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to Any offer that was a prospectus which has been provided written communication relating to the Underwriters Securities made by the Company or any person acting on its behalf (within the meaning, for use in connection with the offering this paragraph only, of Rule 163(c) of the Securities which differs from 1933 Act Regulations) prior to the Prospectus time that the Registration Statement was originally filed has been filed with the Commission in accordance with the exemption provided by Rule 163 of the 1933 Act Regulations (“Rule 163”) and otherwise complied with the requirements of Rule 163, including without limitation the legending requirement, to qualify such offer for the exemption from Section 5(c) of the 1933 Act provided by Rule 163. At the respective times the Registration Statement originally became effective and any amendment thereto became effective, at the time the Company’s most recent Annual Report on Form 10-K was filed with the Commission, at each “new effective date” with respect to the Underwriters pursuant to Rule 424(b430B(f)(2) of the 1933 Act Regulations, in which case and at the time it is first provided to the Underwriters for such use) and at Closing Time, does the Registration Statement and any amendments and supplements thereto complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1933 Act Regulations, the 1939 Act, and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and will not include contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading, and, at the date hereof and at the Closing Time, neither the Prospectus nor any amendments or supplements thereto contained or will contain any untrue statement of a material fact or omitted or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations . Each preliminary prospectus and warranties in this subsection (iv) shall not apply to statements in or omissions from Prospectus filed as part of the Registration Statement as originally filed or as part of any amendment thereto, or filed pursuant to Rule 424 under the 1933 Act, complied when so filed in all material respects with the 1933 Act and the 1933 Act Regulations and, if applicable, each preliminary prospectus and the Prospectus made in reliance upon and in conformity with information furnished delivered to the Company in writing by any Underwriter through the Representatives expressly Underwriters for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit connection with this offering was identical to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data GatheringXXXXX, Analysisexcept to the extent permitted by Regulation S-T of the Commission. As of the Applicable Time, neither (x) all Issuer General Use Free Writing Prospectuses (as defined below) issued at or prior to the Applicable Time (including, without limitation, the Pricing Term Sheet, as hereinafter defined) and Retrieval system or its Interactive Data Electronic Applications system the Statutory Prospectus, considered together (collectively, the XXXXXGeneral Disclosure Package”)., nor (y) any individual Issuer Limited Use Free Writing Prospectus, when considered together with the General Disclosure Package, included or will include any untrue statement of a material fact or omitted or will omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. As used in this subsection and elsewhere in this Agreement:

Appears in 3 contracts

Samples: Purchase Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp)

Compliance with Registration Requirements. The Registration Statement is an Company has filed with the Securities and Exchange Commission (the automatic shelf Commission”) a registration statement on Form S-11 (File No. 333-[•]), including a related preliminary prospectus, for the registration of the Securities under the Securities Act of 1933, as amended (the “1933 Act”); the Company satisfies all eligibility requirements for use of Form S-11 as contemplated by such registration statement and this Agreement; such registration statement, as amended on or prior to the Applicable Time (as defined below), has been declared effective by the Commission under Rule 405 of the 1933 Act Regulations that and the rules and regulations of the Commission under the 1933 Act (the “1933 Act Regulations”); the Company has complied to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information with respect to such registration statement or otherwise; no stop order suspending the effectiveness of such registration statement or any part thereof has been filed with the Commission not earlier than three years prior issued and no proceeding for that purpose has been initiated or, to the date hereof; knowledge of the Company, threatened by the Commission, and no notice of objection of the Commission to the use of such Registration Statement form of registration statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each ; the various parts of the Registration Statement and the Base Prospectussuch registration statement, at the respective times the Registration Statement including all exhibits thereto and any post-effective amendments thereto became effective and as of prospectus relating to the Representation Date, complied and comply in all material respects Securities that is filed with the requirements Commission and deemed by virtue of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued 430A under the 1933 Act to be part of such registration statement (any such information that was omitted from such registration statement at the time it became effective but that is deemed to be a part of and no proceedings for that purpose or included in such registration statement pursuant to Section 8A of Rule 430A under the 1933 Act against the Company or related is referred to the offering of the Securities have been instituted or are pending oras “430A Information”), to the knowledge of the Company, are contemplated by the Commission, and any request on the each as amended at each time such part of the Commission for additional information has been complied with. The Prospectusregistration statement became effective, at are hereinafter collectively called the Representation Date (unless the term Prospectus” refers to a Registration Statement”; each preliminary prospectus which has been provided to the Underwriters by the Company for use used in connection with the offering of the Securities which differs from that omitted Rule 430A Information is herein called, a “Preliminary Prospectus”; the Prospectus final prospectus, and any amendments or supplements thereto, relating to the Securities prepared and filed with the Commission pursuant to Rule 424(b) of under the 1933 Act Regulations, in which case at is hereinafter called the time it is first provided “Prospectus”; any reference to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact any amendment or omit supplement to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Preliminary Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, refer to and include any electronically transmitted copies thereof post-effective amendment to the Registration Statement; any registration statement filed with the Commission pursuant to its Electronic Data Gathering, Analysis, Rule 462(b) of the 1933 Act Regulations is herein referred to as the “Rule 462(b) Registration Statement,” and Retrieval system or its Interactive Data Electronic Applications system (collectively, after such filing the term XXXXX”)Registration Statement” shall include the rule 462(b) Registration Statement.

Appears in 2 contracts

Samples: Underwriting Agreement (American Capital Mortgage Investment Corp.), Underwriting Agreement (American Capital Mortgage Investment Corp.)

Compliance with Registration Requirements. The Registration Statement has become effective under the Securities Act. The Company has complied, to the Commission’s satisfaction, with all requests of the Commission for additional or supplemental information, if any. No stop order suspending the effectiveness of the Registration Statement is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission. At the time the Company’s Annual Report on Form 10-K for the year ended December 31, 2019 (the “Annual Report”) was filed with the Commission, or, if later, at the time the Registration Statement was originally filed with the Commission, as well as at the time the Company or any person acting on its behalf (within the meaning, for this clause only, of Rule 163(c) under the Securities Act) made any offer relating to the Offered Shares in reliance on the exemption of Rule 163 under the Securities Act, the Company was a “well known seasoned issuer” as defined in Rule 405 under the Securities Act. The Registration Statement is an “automatic shelf registration statement,” as defined under in Rule 405 of under the 1933 Act Regulations that Securities Act, and became effective on September 4, 2018. The Company has been filed with not received from the Commission not earlier than three years prior to the date hereof; and no any notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act objecting to the Company’s use of the 1933 automatic shelf registration form. The Company meets the requirements for use of Form S-3 under the Securities Act Regulations has been received specified in the Financial Industry Regulatory Authority, Inc. (“FINRA”) Conduct Rule 5110(B)(7)(C)(i). The documents incorporated or deemed to be incorporated by the Company. Each of reference in the Registration Statement Statement, the Time of Sale Prospectus and the Base Prospectus, at the respective times time they were or hereafter are filed with the Registration Statement and any post-effective amendments thereto Commission, or became effective and under the Exchange Act, as of the Representation Datecase may be, complied and will comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Exchange Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 2 contracts

Samples: Underwriting Agreement (Retrophin, Inc.), Underwriting Agreement (Travere Therapeutics, Inc.)

Compliance with Registration Requirements. The Registration Statement is an Company has filed with the Securities and Exchange Commission (the automatic Commission”) a shelf registration statement” statement on Form S‑3 (File No. 333‑170374) under the Securities Act of 1933, as defined amended (the “1933 Act”), in respect of the Common Stock (including the Securities) on November 4, 2010, which contains a base prospectus, to be used in connection with the public offering and sale of the Securities; the Company satisfies all eligibility requirements for use of Form S‑3 as contemplated by such registration statement and this Agreement; such registration statement became effective under Rule 405 of the 1933 Act Regulations that upon filing; the Company has complied to the Commission's satisfaction with all requests of the Commission for additional or supplemental information with respect to such registration statement or otherwise; no stop order suspending the effectiveness of such registration statement or any part thereof has been filed with the Commission not earlier than three years prior issued and no proceeding for that purpose has been initiated or, to the date hereof; knowledge of the Company, threatened by the Commission, and no notice of objection of the Commission to the use of such Registration Statement form of registration statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each Company (the base prospectus filed as part of such registration statement, in the Registration Statement and form in which it was filed with the Base Commission on or prior to the date of this Agreement, is hereinafter called the “Basic Prospectus”); the various parts of such registration statement, at the respective times the Registration Statement including all exhibits thereto and any post-effective amendments thereto became effective and as of prospectus supplement or prospectus relating to the Representation Date, complied and comply in all material respects Securities that is filed with the requirements Commission and deemed by virtue of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued 430B under the 1933 Act to be part of such registration statement (any such information that was omitted from such registration statement at the time it became effective but that was deemed to be a part and no proceedings for that purpose or included in such registration statement pursuant to Section 8A of Rule 430B under the 1933 Act against the Company or related is referred to the offering of the Securities have been instituted or are pending oras “430B Information”), to the knowledge of the Company, are contemplated by the Commission, and any request on the each as amended at each time such part of the Commission for additional information has been complied with. The Prospectusregistration statement became effective, at are hereinafter collectively called the Representation Date (unless the term Prospectus” refers to a Registration Statement”; each preliminary prospectus which has been provided to the Underwriters by the Company for use used in connection with the offering of the Securities which differs from that omitted Rule 430B Information, including the related Basic Prospectus in the form first filed by the Company pursuant to Rule 424(b) under the 1933 Act is herein called, a “Preliminary Prospectus”; the final prospectus supplement specifically relating to the Securities prepared and filed with the Commission pursuant to Rule 424(b) of under the 1933 Act Regulationsis hereinafter called the “Prospectus Supplement”; the Basic Prospectus, in which case at as amended and supplemented by the time it Prospectus Supplement, is first provided hereinafter called the “Prospectus”; any reference herein to the Underwriters for such use) Basic Prospectus, each Preliminary Prospectus or the Prospectus shall be deemed to refer to and at Closing Time, does not and will not include an untrue statement the documents incorporated by reference therein pursuant to Item 12 of a material fact or omit to state a material fact necessary in order to make Form S‑3 under the statements therein, in the light of the circumstances under which they were made, not misleading1933 Act; provided, however, that no representation or warranty included in any exhibit to any such incorporated document, other than the representations and warranties in this subsection (iv) shall not apply contained herein, is deemed to statements in be made to you; any reference to any amendment or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished supplement to the Company in writing by Basic Prospectus, any Underwriter through the Representatives expressly for use in the Registration Statement Preliminary Prospectus or the Prospectus or the information contained in shall be deemed to refer to and include any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references post-effective amendment to the Registration Statement, any post-effective amendments thereto and prospectus supplement or base prospectus relating to the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof Securities filed with the Commission pursuant to its Electronic Data GatheringRule 424(b) under the 1933 Act and any documents filed under the Securities Exchange Act of 1934, Analysisas amended (the “1934 Act”), and Retrieval system incorporated therein, in each case after the date of the Basic Prospectus, each Preliminary Prospectus or its Interactive Data Electronic Applications system (collectivelythe Prospectus, “XXXXX”)as the case may be; any reference to any amendment to the Registration Statement shall be deemed to refer to and include any annual report of the Company filed pursuant to Section 13(a) or 15(d) of the 1934 Act after the effective date of the Registration Statement that is incorporated by reference in the Registration Statement.

Appears in 2 contracts

Samples: Underwriting Agreement (American Capital Agency Corp), Underwriting Agreement (American Capital Agency Corp)

Compliance with Registration Requirements. The Company meets the requirements for use of Form S-3 under the 1933 Act. The Registration Statement is an “automatic shelf registration statement” (as defined under in Rule 405 405) and the Securities are eligible for registration by the Company on such automatic shelf registration statement. Each of the 1933 Act Regulations that Registration Statement and any post-effective amendment thereto has been filed become effective upon filing with the Commission not earlier than three years prior to under the date hereof; and no notice of objection 1933 Act. No stop order suspending the effectiveness of the Commission to the use of such Registration Statement or any post-effective amendment thereto has been issued or is in effect under the 1933 Act, no order preventing or suspending the use of any preliminary prospectus or the Prospectus has been issued and no proceedings for any of those purposes or pursuant to Rule 401(g)(2) Section 8A of the 1933 Act Regulations has have been received instituted or are pending or, to the knowledge of the Company, threatened by the CompanyCommission. The Company has complied with each request (if any) from the Commission for additional information. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became amendment thereto, at the time of its effectiveness and at each deemed effective date with respect to the Underwriters pursuant to Rule 430B(f)(2) under the 1933 Act Regulations, the Applicable Time, the Closing Time and as any Date of Delivery complied in all material respects with the requirements of the Representation Date1933 Act and the 1933 Act Regulations. Each preliminary prospectus, the Prospectus and any amendment or supplement thereto, at the time each was filed with the Commission, and, in each case, at the Applicable Time, the Closing Time and any Date of Delivery complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) and each preliminary prospectus and the Prospectus delivered by the Company to the Underwriters for use in connection with this offering was identical to the electronically transmitted copies thereof filed with the Commission pursuant to XXXXX, except to the extent permitted by Regulation S-T. The documents incorporated or deemed to be incorporated by reference in the Registration Statement and the Prospectus, when they became effective or at the time they were or hereafter are filed with the Commission, complied and will comply in all material respects with the requirements of the 1933 1934 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 1934 Act (the “1939 1934 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 2 contracts

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

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of the 1933 Act Regulations that has been filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the any Rule 462(b) Registration Statement and any post-has become effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of under the 1933 Act and the 1933 1940 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No no stop order suspending the effectiveness of the Registration Statement or any Rule 462(b) Registration Statement has been issued under the 1933 Act or the 1940 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The ProspectusAt the respective times the Registration Statement, at any Rule 462(b) Registration Statement and any post-effective amendments thereto became effective Each preliminary prospectus and the Representation Date (unless prospectus filed as part of the term “Prospectus” refers Registration Statement as originally filed or as part of any amendment thereto, or filed pursuant to a Rule 497 under the 1933 Act, complied when so filed in all material respects with the 1933 Act Regulations and the 1940 Act Regulations and each preliminary prospectus which has been provided and the Prospectus delivered to the Underwriters by the Company for use in connection with this offering was identical in all material respects to the offering of the Securities which differs from the Prospectus electronically transmitted copies thereof filed with the Commission pursuant to Rule 424(b) of the 1933 Act RegulationsEDGAX, in which case at the time it is first provided xxcept to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the extent permitted by Regulation S-T. The representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly Merrxxx Xxxcx xxxressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”)Prospectus.

Appears in 2 contracts

Samples: Purchase Agreement (General American Investors Co Inc), General American Investors Co Inc

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of the 1933 Act Regulations that Company has been prepared and filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement or any posta registration statement (File No. 333-effective amendment thereto pursuant to Rule 401(g)(2259455) of on Form N-2, including a related base prospectus, for registration under the 1933 Act Regulations has been received by the Company. Each of the offering and sale of the Shares (the “Registration Statement and the Base ProspectusStatement”). Such Registration Statement, at the respective times the Registration Statement and including any post-effective amendments thereto became effective and as of the Representation Datefiled on or prior to November 2, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended 2021 (the “1939 ActExecution Time”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”)has become effective, and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No no stop order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act issued, and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities any such purpose, have been instituted or are pending or, to the knowledge of the Company, are contemplated have been threatened by the Commission, and any request on the part of the Commission for additional information with respect thereto has been complied with. The Company may have filed, as part of an amendment to the Registration Statement or pursuant to Rule 424 under the 1933 Act or such other 1933 Act rule as may be applicable to the Company, one or more amendments thereto, each of which has previously been furnished to you. The Company will file with the Commission one or more prospectus supplements (each, a “Prospectus Supplement” and collectively, the “Prospectus Supplements”) relating to the Shares in accordance with Rule 424 under the 1933 Act, including all documents incorporated or deemed to be incorporated therein by reference. As filed, such Prospectus Supplements, together with the Base Prospectus, shall contain all information required by the 1933 Act and the 1940 Act and, except to the extent the Manager shall agree in writing to a modification, shall be in all substantive respects in the form furnished to you prior to the Execution Time or prior to any such time this representation is repeated or deemed to be made. The Registration Statement, at the Representation Execution Time, as of the time of each sale of Shares pursuant to this Agreement (each, a “Time of Sale”), at each Settlement Date (unless the term “Prospectus” refers to as defined in Section 3(a)(vi) hereof), and at all times during which a prospectus which has been provided to the Underwriters is required by the Company for use 1933 Act to be delivered in connection with any sale of Shares, meets or will meet the offering requirements set forth in Rule 415(a)(1)(x) under the 1933 Act. On its most recent Effective Date, the Registration Statement did, and when the Prospectus is first filed in accordance with Rule 424 under the 1933 Act, as of the Securities which differs from the Prospectus date that it is filed with the Commission pursuant Commission, as of the date of each of the Prospectus Supplements, as of each Time of Sale, at each Settlement Date, and at all times during which a prospectus is required by the 1933 Act to Rule 424(bbe delivered in connection with any sale of Shares, the Prospectus (and any supplements thereto) will, comply in all material respects with the applicable requirements of the 1933 Act Regulationsand the 1940 Act; on its most recent Effective Date, in which case at the time it is first provided to the Underwriters for such use) Execution Time and, as amended or supplemented, as of each Time of Sale, at each Settlement Date and at Closing Timeall times during which a prospectus is required by the 1933 Act to be delivered in connection with any sale of Shares, does the Registration Statement did not and will not include an contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary in order to make the statements therein not misleading; and at no time during the period that begins on the date of the Prospectus Supplement and ends at the later of each Settlement Date and the end of the period during which a prospectus is required by the 1933 Act to be delivered in connection with any sale of Shares did or will the Prospectus, as then amended or supplemented, include any untrue statement of a material fact or omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the Company makes no representations and or warranties in this subsection (iv) shall not apply as to statements the information contained in or omissions omitted from the Registration Statement Statement, or the Prospectus made (or any supplement thereto), in reliance upon and in conformity with information furnished in writing to the Company in writing by any Underwriter through or on behalf of the Representatives expressly Manager specifically for use inclusion in the Registration Statement or the Prospectus (or any supplement thereto), it being understood and agreed that the only such information contained furnished by the Manager consists of the last paragraph under the heading “Plan of Distribution” in the Prospectus Supplement filed by the Company with the Commission on November 2, 2021. The Commission has not issued any order preventing or suspending the use of the Prospectus. Except as expressly provided hereby, the parties further agree that all of the terms and provisions of the Equity Distribution Agreement are and shall remain in full force and effect. This Second Amendment may be executed in any Statement number of Eligibility and Qualification counterparts, each of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus which shall be deemed to includebe an original, without limitation, any electronically transmitted copies thereof filed and all such counterparts shall together constitute one and the same instrument. This Second Amendment shall be governed by and construed in accordance with the Commission pursuant to its Electronic Data Gatheringlaws of the State of New York, Analysis, including without limitation Section 5-1401 of the New York General Obligations Law. Capitalized terms used herein and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”)not defined herein shall have the same meanings as in the Equity Distribution Agreement.

Appears in 2 contracts

Samples: Equity Distribution Agreement (Capital Southwest Corp), Equity Distribution Agreement (Capital Southwest Corp)

Compliance with Registration Requirements. The Registration Statement is Company meets the requirements for use of Form S-3 under the 1933 Act and has prepared and filed with the Commission an “automatic shelf registration statement”, as defined under in Rule 405 (the file number of which is set forth in Exhibit B hereto) on Form S-3, including a related Base Prospectus, for registration under the 1933 Act Regulations that has been of the offering and sale of the Securities. Such Registration Statement, including any post-effective amendments thereto filed with the Commission not earlier than three years prior to the date hereof, became effective on filing. No stop order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose have been instituted or, to the knowledge of the Company, are threatened by the Commission; and no notice of objection of the Commission to the use of such Registration Statement registration statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of under the 1933 Act Regulations has been received by the Company; and any request on the part of the Commission for additional information has been complied with. Each The Company may have filed with the Commission, as part of an amendment to the Registration Statement or pursuant to Rule 424(b), one or more preliminary prospectus supplements relating to the Securities, each of which has previously been furnished to you. The Company will file with the Commission a final prospectus supplement relating to the Securities in accordance with Rule 424(b). As filed, such final prospectus supplement shall contain all information required by the 1933 Act and the rules thereunder, and, except to the extent the Representatives shall agree in writing to a modification, shall be in all substantive respects in the form furnished to you prior to the date hereof or, to the extent not completed at the date hereof, shall contain only such specific additional information and other changes (beyond that contained in the Base Prospectus and any Preliminary Prospectus) as the Company has advised you, prior to the date hereof, will be included or made therein. The Registration Statement, at the date hereof, meets the requirements set forth in Rule 415(a)(1)(x). The initial Effective Date of the Registration Statement and was not earlier than the Base Prospectusdate three years before the date hereof. On each Effective Date, at the respective times the Registration Statement did, and when the Final Prospectus is first filed in accordance with Rule 424(b) and on the Closing Date (as defined herein), the Final Prospectus (and any post-effective amendments thereto became effective and as of the Representation Datesupplement thereto) will, complied and comply in all material respects with the applicable requirements of the 1933 Act and Act, the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939Act; on each Effective Date and at the date hereof, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and Registration Statement did not and as of the Representation Date and at Closing Time do will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein not misleading. No order suspending ; on the effectiveness Effective Date and on the Closing Date the Indenture did and will comply in all material respects with the applicable requirements of the Registration Statement has been issued under the 1933 Trust Indenture Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, rules thereunder; and any request on the part date of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission any filing pursuant to Rule 424(b) of ), on the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) Closing Date and at Closing Timeany time when a prospectus is required by applicable law to be delivered in connection with sales of Securities, does not and the Final Prospectus (together with any supplement thereto) will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the . The representations and warranties in this subsection (iv) shall not apply to (i) that part of the Registration Statement which shall constitute the Statement of Eligibility (Form T-1) of the Trustee under the Trust Indenture Act or (ii) statements in or omissions from the Registration Statement or Final Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives any Representative expressly for use in the Registration Statement or the Final Prospectus or any amendment thereof or supplement thereto. Each Preliminary Prospectus as originally filed or as part of any amendment thereto or filed pursuant to Rule 424 under the 1933 Act complied when so filed in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations. The Disclosure Package, as of the Applicable Time, did not contain an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. The preceding sentence does not apply to statements in or omissions from the Disclosure Package based upon and in conformity with written information furnished to the Company by any Underwriter through the Representatives specifically for use therein, it being understood and agreed that the only such information furnished by or on behalf of any Underwriter consists of the information contained described as such in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”)6 hereof.

Appears in 2 contracts

Samples: Underwriting Agreement (Cytec Industries Inc/De/), Underwriting Agreement (Cytec Industries Inc/De/)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of the 1933 Act Regulations that Company has been prepared and filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement or any posta registration statement (File No. 333-effective amendment thereto pursuant to Rule 401(g)(2256733) of on Form N-2, including a related basic prospectus, for registration under the 1933 Act Regulations has been received by of the offering and sale of certain securities of the Company, including the Shares. Each of the Such Registration Statement and the Base ProspectusStatement, at the respective times the Registration Statement and including any post-effective amendments thereto became effective filed prior to the date and as of time that this Agreement is executed and delivered by the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended parties hereto (the “1939 ActExecution Time”), has become effective and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No no stop order suspending the effectiveness of the Registration Statement (and the Registration Statement as amended by any post-effective amendment if the Company shall have made any amendments thereto after the effective date of the Registration Statement) has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The ProspectusCompany may have filed, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided as part of an amendment to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission Registration Statement or pursuant to Rule 424(b) under the 1933 Act or such other 1933 Act rule as may be applicable to the Company, one or more amendments thereto, each of which has previously been furnished to you. The Company will file with the Commission one or more prospectus supplements (collectively, the “Prospectus Supplement”) related to the Shares in accordance with Rule 424(b)under the 1933 Act, or such other 1933 Act rule as may be applicable to the Company, including all documents incorporated or deemed to be incorporated therein by reference pursuant to the rules or regulations of the Commission. As filed, such Prospectus Supplement, together with the Basic Prospectus, shall contain all information required by the 1933 Act and the 1940 Act and, except to the extent the Manager shall agree in writing to a modification, shall be in all substantive respects in the form furnished to you prior to the Execution Time or prior to any such time this representation is repeated or deemed to be made. The Registration Statement, at the Execution Time, as of the time of each sale of Shares pursuant to this Agreement (each, a “Time of Sale”), at each Settlement Date (as defined in Section 4(a)(vi) hereof), and at all times during which a prospectus is required by the 1933 Act to be delivered in connection with any sale of Shares, meets or will meet the requirements set forth in Rule 415(a)(1)(x) under the 1933 Act. On the Effective Date, the Registration Statement did, and when the Prospectus is first filed in accordance with Rule 424(b) under the 1933 Act, or such other 1933 Act rule as may be applicable to the Company, as of the date that it is filed with the Commission, the date of the Prospectus Supplement, as of each Time of Sale, at each Settlement Date, and at all times during which a prospectus is required by the 1933 Act to be delivered in connection with any sale of Shares, the Prospectus (and any supplements thereto) will comply in all material respects with the applicable requirements of the 1933 Act Regulationsand the 1940 Act; on the Effective Date, at the Execution Time and, as amended or supplemented, as of each Time of Sale, at each Settlement Date and at all times during which a prospectus is required by the 1933 Act to be delivered in connection with any sale of Shares, the Registration Statement did not and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary in order to make the statements therein not misleading; and at no time during the period that begins on the date of the Prospectus Supplement and ends at the later of each Settlement Date and the end of the period during which a prospectus is required by the 1933 Act to be delivered in connection with any sale of Shares did or will the Prospectus, as then amended or supplemented, include any untrue statement of a material fact or omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which case they were made, not misleading; provided, however, that the Company makes no representations or warranties as to the information contained in or omitted from the Registration Statement, or the Prospectus (or any amendment or supplement thereto), in reliance upon and in conformity with information furnished in writing to the Company by or on behalf of the Manager specifically for inclusion in the Registration Statement or the Prospectus (or any amendment or supplement thereto), it being understood and agreed that the only such information furnished by the Manager consists of the name and address of the Manager set forth in the last paragraph under the heading “Plan of Distribution —Conflicts of Interest” in the Prospectus. The Commission has not issued any order preventing or suspending the use of the Prospectus. The documents incorporated or deemed to be incorporated by reference in the Registration Statement and the Prospectus (or any amendment or supplement thereto) (i) at the time it is first provided to they were or hereafter are filed with the Underwriters for such useCommission, complied or will comply in all material respects with the requirements of the Securities Exchange Act of 1934, as amended, and the rules and regulations of the Commission thereunder (collectively called the “Exchange Act”) and (ii) at Closing Timethe time they were or hereafter are filed with the Commission, does when read together with the other information in the Registration Statement or the Prospectus, as the case may be, did not and or will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 2 contracts

Samples: Capital Corporation (Ares Capital Corp), Terms Agreement (Ares Capital Corp)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of the 1933 Act Regulations that Company has been filed with the Securities and Exchange Commission (the “Commission”) a registration statement under the Securities Act of 1933, as amended (the “1933 Act”), on Form S-3 (File No. 333-217865), in respect of the Company’s Common Stock (including the Shares) (collectively, the “Securities”) not declared effective by the Commission earlier than three years prior to the date hereof; such registration statement, and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto, has become effective; and no stop order suspending the effectiveness of such registration statement or any part thereof has been issued and no proceeding for that purpose has been initiated or, to the knowledge of the Company, threatened by the Commission (the base prospectus filed as part of such registration statement, in the form in which it has most recently been filed with the Commission on or prior to the date of this Agreement, is hereinafter called the “Basic Prospectus”; the various parts of such registration statement, including all exhibits thereto and any prospectus supplement relating to the Shares that is filed with the Commission and deemed by virtue of Rule 430B to be part of such registration statement, each as amended at the time such part of the registration statement became effective, are hereinafter collectively called the “Registration Statement”; the prospectus supplement specifically relating to the Shares prepared and filed with the Commission pursuant to Rule 401(g)(2424(b) of under the 1933 Act Regulations has been received is hereinafter called the “Prospectus Supplement”; the Basic Prospectus, as amended and supplemented by the Company. Each of Prospectus Supplement, is hereinafter called the Registration Statement and “Prospectus”; any reference herein to the Base Basic Prospectus, at the respective times Prospectus Supplement or the Registration Statement Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under the 1933 Act; any reference to any amendment or supplement to the Basic Prospectus, the Prospectus Supplement or the Prospectus shall be deemed to refer to and include any post-effective amendments thereto became effective and as of amendment to the Representation DateRegistration Statement, complied and comply in all material respects any prospectus supplement relating to the Shares filed with the requirements of Commission pursuant to Rule 424(b) under the 1933 Act and any documents filed under the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Securities Exchange Act of 19391934, as amended (the “1939 1934 Act”), and the rules and regulations of the Commission under the 1939 Act thereunder (the “1939 1934 Act Regulations”), and did not and as incorporated therein, in each case after the date of the Representation Date Basic Prospectus, the Prospectus Supplement or the Prospectus, as the case may be; any reference to any amendment to the Registration Statement shall be deemed to refer to and include any annual report of the Company filed pursuant to Section 13(a) or 15(d) of the 1934 Act after the effective date of the Registration Statement that is incorporated by reference in the Registration Statement; and any “issuer free writing prospectus” as defined in Rule 433 under the 1933 Act relating to the Shares is hereinafter called an “Issuer Free Writing Prospectus”). No order preventing or suspending the use of the Basic Prospectus, the Prospectus Supplement, the Prospectus or any Issuer Free Writing Prospectus has been issued by the Commission, and the Basic Prospectus and the Prospectus Supplement, at Closing Time do the time of filing thereof, conformed in all material respects to the requirements of the 1933 Act and the rules and regulations of the Commission thereunder (the “1933 Act Regulations”) and did not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 2 contracts

Samples: Terms Agreement (Transenterix Inc.), Sales Agreement (Transenterix Inc.)

Compliance with Registration Requirements. (A) At the time of filing the Registration Statement, any 462(b) Registration Statement and any post-effective amendments thereto, (B) at the earliest time thereafter that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) of the 1933 Act Regulations) of the Securities, and (C) at the Applicable Time (with such date being used as the determination date for purposes of this clause (C)), the Company was not and is not an “ineligible issuer” as defined in Rule 405 of the 1933 Act Regulations (“Rule 405”), without taking into account any determination by the Commission pursuant to Rule 405 that it is not necessary that the Company be considered an ineligible issuer. The Company meets the requirements for use of Form S-3 under the 1933 Act for the offering and sale of the Securities. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of the 1933 Act Regulations that has been filed with the Commission not earlier than three years prior to the date hereof; . Each of the Registration Statement and any Rule 462(b) Registration Statement, if any, has become effective under the 1933 Act and no notice of objection of the Commission to the use of such Registration Statement registration statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of under the 1933 Act Regulations has been received by the Company. Each Company and no stop order suspending the effectiveness of the Registration Statement and any post-effective amendment thereto or any Rule 462(b) Registration Statement and any post-effective amendment thereto has been issued under the Base Prospectus1933 Act and no proceedings for that purpose have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission or any state or other jurisdiction or regulatory body, and any request on the part of the Commission or any state or other jurisdiction or regulatory body for additional information has been complied with. The Company may have filed with the Commission, as part of an amendment to the Registration Statement or pursuant to Rule 424(b), one or more prospectuses relating to the Securities, each of which has previously been furnished to the Underwriters. The Company will file with the Commission the Prospectus relating to the Securities in accordance with Rule 424(b). As filed, such Prospectus when taken together with the documents incorporated by reference therein shall contain all information required by the 1933 Act and the 1933 Act Regulations, and shall be in all substantive respects in the form furnished to you prior to the Applicable Time or, to the extent not completed at the Applicable Time, shall contain only such specific additional information and other changes (beyond that contained in the preliminary prospectus) as the Company has advised you (and for which the Representatives have consented to), prior to the Applicable Time, will be included or made therein. The Registration Statement, at the Applicable Time, meets the requirements set forth in Rule 415(a)(1)(x). At the respective times the Registration Statement, any Rule 462(b) Registration Statement and any post-effective amendments thereto became effective and as at the Closing Time and the Applicable Time (and, if any Option Securities are purchased, at the Date of Delivery), the Representation DateRegistration Statement, the Rule 462(b) Registration Statement and any amendments and supplements thereto complied and will comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness When each of the Registration Statement has been issued under Prospectus and Statutory Prospectus is first filed in accordance with Rule 424(b) and as of the Closing Time (as defined herein) and on any date on which Option Securities are purchased, if such date is not as of the date of the Closing Time at the Date of Delivery, the Prospectus and the Statutory Prospectus (and any supplement thereto) will comply in all material respects with the applicable requirements of the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1934 Act and the 1933 Act against Regulations and the Company or related to the offering of the Securities have been instituted or are pending or1934 Act Regulations, to the knowledge of the Company, are contemplated by the Commission, respectively; and any request on the part date of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission any filing pursuant to Rule 424(b) and as of the 1933 Act RegulationsClosing Time and any Date of Delivery, in which case at the time it is first provided to Prospectus and the Underwriters for such useStatutory Prospectus (together with any supplement thereto) and at Closing Time, does not and will not include an any untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that . Each preliminary prospectus and the representations and warranties in this subsection prospectus (ivincluding any prospectus wrapper) shall not apply to statements in or omissions from filed as part of the Registration Statement as originally filed or as part of any amendment or supplement thereto, or filed pursuant to Rule 424 under the 1933 Act, including the Prospectus made and the Statutory Prospectus, complied when first issued and so filed and at the Closing Time and the Applicable Time in reliance upon all material respects with the 1933 Act and in conformity with information furnished the 1933 Act Regulations and each preliminary prospectus and the Prospectus delivered to the Company in writing by any Underwriter through the Representatives expressly Underwriters for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit connection with this offering was identical to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data GatheringXXXXX, Analysisexcept to the extent permitted by Regulation S-T. As of the Applicable Time, neither (x) the General Disclosure Package, nor (y) any individual Issuer-Represented Limited Use Free Writing Prospectus, when considered together with the General Disclosure Package, included any untrue statement of a material fact or omitted to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. As used in this subsection and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).elsewhere in this Agreement:

Appears in 2 contracts

Samples: Underwriting Agreement (Iberiabank Corp), Underwriting Agreement (Iberiabank Corp)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of the 1933 Act Regulations that has been filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement registration statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives Representative expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 2 contracts

Samples: Underwriting Agreement (Hcp, Inc.), Health Care Property Investors Inc

Compliance with Registration Requirements. (A) At the time that the Registration Statement was originally filed, (B) at the time of the most recent amendment thereto for the purposes of complying with Section 10(a)(3) of the 1933 Act (whether such amendment was by post-effective amendment, incorporated report filed pursuant to Section 13 or 15(d) of the 1934 Act or form of prospectus), (C) at the time the Company or any person acting on its behalf (within the meaning, for this clause only, of Rule 163(c) of the 1933 Act Regulations) made any offer relating to the Securities in reliance on the exemption of Rule 163 of the 1933 Act Regulations and (D) at the date hereof, the Company (x) was and is a “well-known seasoned issuer” as defined in Rule 405 of the 1933 Act Regulations (“Rule 405”) and (y) was not and is not an “ineligible issuer” as defined in Rule 405. The Registration Statement is an “automatic shelf registration statement,” as defined under in Rule 405 of 405, and the 1933 Act Regulations that Securities, since their registration on the Registration Statement, have been and remain eligible for registration by the Company on an “automatic shelf registration statement” as defined in Rule 405. The Company has been filed with not received from the Commission not earlier than three years prior to the date hereof; and no any notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by (“Rule 401(g)(2)”) objecting to the Companyuse of the automatic shelf registration statement form. Each At the earliest time after the original filing of the Registration Statement that the Company or another offering participant (with respect to the offering contemplated hereby) made a bona fide offer (within the meaning of Rule 164(h)(2) of the 1933 Act Regulations) of the Securities, the Company was not an “ineligible issuer,” as defined in Rule 405. The Registration Statement became effective upon filing under Rule 462(e) of the 1933 Act Regulations (“Rule 462(e)”) on April 12, 2006, and any post-effective amendment thereto also became effective upon filing under Rule 462(e). No stop order suspending the Base Prospectuseffectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose have been instituted or are pending or, at to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. Any offer that was a written communication relating to the Securities made by the Company or any person acting on its behalf (within the meaning, for this paragraph only, of Rule 163(c) of the 1933 Act Regulations) prior to the time that the Registration Statement was originally filed has been filed with the Commission in accordance with the exemption provided by Rule 163 of the 1933 Act Regulations (“Rule 163”) and otherwise complied with the requirements of Rule 163, including without limitation the legending requirement, to qualify such offer for the exemption from Section 5(c) of the 1933 Act provided by Rule 163. At the respective times the Registration Statement and any post-effective amendments thereto originally became effective and as any amendment thereto became effective, at the time the Company’s most recent Annual Report on Form 10-K was filed with the Commission, at each “new effective date” with respect to the Underwriters pursuant to Rule 430B(f)(2) of the Representation Date1933 Act Regulations, and at the Closing Time (and, if any Option Securities are purchased, at each Date of Delivery), the Registration Statement and any amendments and supplements thereto complied and will comply in all material respects with the applicable requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of Act, the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectusand, at the Representation date hereof and at the Closing Time (and, if any Option Securities are purchased, at each Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from Delivery), neither the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and nor any amendments or supplements thereto contained or will not include an contain any untrue statement of a material fact or omitted or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations . Each preliminary prospectus and warranties in this subsection (iv) shall not apply to statements in or omissions from Prospectus filed as part of the Registration Statement as originally filed or as part of any amendment thereto, or filed pursuant to Rule 424 under the 1933 Act, complied when so filed in all material respects with the 1933 Act and the 1933 Act Regulations and, if applicable, each preliminary prospectus and the Prospectus made in reliance upon and in conformity with information furnished delivered to the Company in writing by any Underwriter through the Representatives expressly Underwriters for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit connection with this offering was identical to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data GatheringXXXXX, Analysisexcept to the extent permitted by Regulation S-T of the Commission. As of the Applicable Time, neither (x) all Issuer General Use Free Writing Prospectuses (as defined below) issued at or prior to the Applicable Time, the Statutory Prospectus and Retrieval system or its Interactive Data Electronic Applications system the information included on Schedule C hereto, all considered together (collectively, the XXXXXGeneral Disclosure Package”)., nor (y) any individual Issuer Limited Use Free Writing Prospectus, when considered together with the General Disclosure Package, included or will include any untrue statement of a material fact or omitted or will omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. As used in this subsection and elsewhere in this Agreement:

Appears in 2 contracts

Samples: Purchase Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp)

Compliance with Registration Requirements. The Company meets the requirements for use of Form S-3 under the 1933 Act. The Registration Statement is an “automatic shelf registration statement” as defined became effective upon filing with the Commission under Rule 405 462(e) of the 1933 Act Regulations that has been filed with the Commission not earlier than three years prior to the date hereof; (“Rule 462(e)”) on November 17, 2017 and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto also became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including upon filing under Rule 415(a) of the 1933 Act Regulations462(e), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No stop order suspending the effectiveness of the Registration Statement or preventing or suspending the use of any prospectus has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at and no notice of objection of the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided Commission to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission Registration Statement or any post-effective amendment thereto pursuant to Rule 424(b401(g)(2) of the 1933 Act Regulations has been received by the Company. In addition, the Indenture has been duly qualified under the Trust Indenture Act of 1939, as amended (the “1939 Act”). At the respective times the Registration Statement and any post-effective amendments thereto became effective and as of each Representation Date, the Registration Statement and any amendments thereto complied, complies and will comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations and the 1939 Act and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), in which case at the time it is first provided to the Underwriters for such use) and at Closing Timedid not, does not and will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading; provided, that the Company makes no representation or warranty with respect to the Underwriter Information (as defined below). The Prospectus and each amendment or supplement thereto, if any, at the time the Prospectus or any such amendment or supplement is issued and at the Closing Time, complied, complies and will comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations, and neither the Prospectus nor any amendment or supplement thereto included, includes or will include an untrue statement of a material fact or omitted, omits or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in Company makes no representation or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity warranty with information furnished respect to the Company Underwriter Information. Each preliminary prospectus and any amendment thereto complied when so filed in writing by any Underwriter through all material respects with the Representatives expressly 1933 Act and the 1933 Act Regulations and each preliminary prospectus and the Prospectus delivered or made available to the Underwriters for use in connection with the Registration Statement or offering of the Prospectus or Securities was and will be, at the information contained in any Statement time of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit such delivery, identical to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data GatheringXXXXX, Analysisexcept to the extent permitted by Regulation S-T. As of the Applicable Time, neither (x) the General Disclosure Package (as defined below) nor (y) any individual Issuer Limited Use Free Writing Prospectus (as defined below), when considered together with the General Disclosure Package, included any untrue statement of a material fact or omitted to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided that the Company makes no representation or warranty with respect to the Underwriter Information. As used in this subsection and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).elsewhere in this Agreement:

Appears in 2 contracts

Samples: Underwriting Agreement (Public Service Enterprise Group Inc), Public Service Enterprise Group Inc

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of the 1933 Act Regulations that Company has been filed with the Securities and Exchange Commission (the “Commission”) a registration statement under the Securities Act of 1933, as amended (the “1933 Act”), on Form S-3 (File No. 333-208376), in respect of the Company’s Shares and other securities, not declared effective by the Commission earlier than three years prior to the date hereof; such registration statement, and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant thereto, has become effective; and no stop order suspending the effectiveness of such registration statement or any part thereof has been issued and no proceeding for that purpose has been initiated or, to Rule 401(g)(2) the knowledge of the 1933 Act Regulations has been received Company, threatened by the Company. Each Commission (the base prospectus filed as part of such registration statement, in the form in which it has most recently been filed with the Commission on or prior to the date of this Agreement, is hereinafter called the “Basic Prospectus”; the various parts of such registration statement, including all exhibits thereto and any prospectus supplement relating to the Shares that is filed with the Commission and deemed by virtue of Rule 430B to be part of such registration statement, each as amended at the time such part of the Registration Statement and the Base Prospectusregistration statement became effective, at the respective times the Registration Statement and including any post-effective amendments thereto became effective amendments, thereto, are hereinafter collectively called the “Registration Statement”; the prospectus supplement specifically relating to the Shares prepared and as of the Representation Date, complied and comply in all material respects filed with the requirements Commission pursuant to Rule 424(b) under the 1933 Act is hereinafter called the “Prospectus Supplement”; the Basic Prospectus, as amended and supplemented by the Prospectus Supplement, is hereinafter called the “Prospectus”; any reference herein to the Basic Prospectus, the Prospectus Supplement or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under the 1933 Act; any reference to any amendment or supplement to the Basic Prospectus, the Prospectus Supplement or the Prospectus shall be deemed to refer to and include any post-effective amendment to the Registration Statement, any prospectus supplement relating to the Shares filed with the Commission pursuant to Rule 424(b) under the 1933 Act and any documents filed under the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Securities Exchange Act of 19391934, as amended (the “1939 1934 Act”), and the rules and regulations of the Commission under the 1939 Act thereunder (the “1939 1934 Act Regulations”), and did not and as incorporated therein, in each case after the date of the Representation Date Basic Prospectus, the Prospectus Supplement or the Prospectus, as the case may be; any reference to any amendment to the Registration Statement shall be deemed to refer to and at Closing Time do not contain an untrue statement include any annual report of a material fact the Company filed pursuant to Section 13(a) or omit to state a material fact required to be stated therein or necessary to make 15(d) of the statements therein not misleading. No order suspending 1934 Act after the effectiveness effective date of the Registration Statement has been issued that is incorporated by reference in the Registration Statement; and any “issuer free writing prospectus” as defined in Rule 433 under the 1933 Act and no proceedings for that purpose relating to the Shares is hereinafter called an “Issuer Free Writing Prospectus”). No order preventing or pursuant to Section 8A suspending the use of the 1933 Act against Basic Prospectus, the Company Prospectus Supplement, the Prospectus or related to the offering of the Securities have any Issuer Free Writing Prospectus has been instituted or are pending or, to the knowledge of the Company, are contemplated issued by the Commission, and any request on the part of Basic Prospectus and the Commission for additional information has been complied with. The ProspectusProspectus Supplement, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided time of filing thereof, conformed in all material respects to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) requirements of the 1933 Act and the rules and regulations of the Commission thereunder (the “1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does did not and will not include contain an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 2 contracts

Samples: Terms Agreement (Xenon Pharmaceuticals Inc.), Terms Agreement (Xenon Pharmaceuticals Inc.)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of the 1933 Act Regulations that Company has been prepared and filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement or any posta registration statement (File No. 333-effective amendment thereto pursuant to Rule 401(g)(2232492) of on Form N-2, including a related base prospectus, for registration under the 1933 Act Regulations has been received by the Company. Each of the offering and sale of the Shares (the “Registration Statement and the Base ProspectusStatement”). Such Registration Statement, at the respective times the Registration Statement and including any post-effective amendments thereto became effective filed prior to the date and as of time that this Agreement is executed and delivered by the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended parties hereto (the “1939 ActExecution Time”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”)has become effective, and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No no stop order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act issued, and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities any such purpose, have been instituted or are pending or, to the knowledge of the Company, are contemplated have been threatened by the Commission, and any request on the part of the Commission for additional information with respect thereto has been complied with. The Company may have filed, as part of an amendment to the Registration Statement or pursuant to Rule 497 or Rule 424 under the 1933 Act or such other 1933 Act rule as may be applicable to the Company, one or more amendments thereto, each of which has previously been furnished to you. The Company will file with the Commission one or more prospectus supplements (each, a “Prospectus Supplement” and collectively, the “Prospectus Supplements”) related to the Shares in accordance with Rule 497 or Rule 424 under the 1933 Act, including all documents incorporated or deemed to be incorporated therein by reference pursuant to the SBCAA or the rules of the Commission promulgated thereunder or otherwise. As filed, such Prospectus Supplements, together with the Base Prospectus, shall contain all information required by the 1933 Act and the 1940 Act and, except to the extent the Manager shall agree in writing to a modification, shall be in all substantive respects in the form furnished to you prior to the Execution Time or prior to any such time this representation is repeated or deemed to be made. The Registration Statement, at the Representation Execution Time, as of the time of each sale of Shares pursuant to this Agreement (each, a “Time of Sale”), at each Settlement Date (unless the term “Prospectus” refers to as defined in Section 3(a)(vi) hereof), and at all times during which a prospectus which has been provided to the Underwriters is required by the Company for use 1933 Act to be delivered in connection with any sale of Shares, meets or will meet the offering requirements set forth in Rule 415(a)(1)(x) under the 1933 Act. On its most recent Effective Date, the Registration Statement did, and when the Prospectus is first filed in accordance with Rule 497 or Rule 424 under the 1933 Act, as of the Securities which differs from the Prospectus date that it is filed with the Commission pursuant Commission, the date of the Prospectus Supplements, as of each Time of Sale, at each Settlement Date, and at all times during which a prospectus is required by the 1933 Act to Rule 424(bbe delivered in connection with any sale of Shares, the Prospectus (and any supplements thereto) will, comply in all material respects with the applicable requirements of the 1933 Act Regulationsand the 1940 Act; on its most recent Effective Date, in which case at the time it is first provided to the Underwriters for such use) Execution Time and, as amended or supplemented, as of each Time of Sale, at each Settlement Date and at Closing Timeall times during which a prospectus is required by the 1933 Act to be delivered in connection with any sale of Shares, does the Registration Statement did not and will not include an contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary in order to make the statements therein not misleading; and at no time during the period that begins on the date of the Prospectus Supplement and ends at the later of each Settlement Date and the end of the period during which a prospectus is required by the 1933 Act to be delivered in connection with any sale of Shares did or will the Prospectus, as then amended or supplemented, include any untrue statement of a material fact or omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the Company makes no representations and or warranties in this subsection (iv) shall not apply as to statements the information contained in or omissions omitted from the Registration Statement Statement, or the Prospectus made (or any supplement thereto), in reliance upon and in conformity with information furnished in writing to the Company in writing by any Underwriter through or on behalf of the Representatives expressly Manager specifically for use inclusion in the Registration Statement or the Prospectus (or any supplement thereto), it being understood and agreed that the only such information contained in any Statement furnished by the Manager consists of Eligibility and Qualification of a trustee the last paragraph under the 1939 Act filed as an exhibit to heading “Plan of Distribution” in the Registration Statement (a “Form T-1”)Prospectus. For purposes The Commission has not issued any order preventing or suspending the use of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”)Prospectus.

Appears in 2 contracts

Samples: Equity Distribution Agreement (Capital Southwest Corp), Equity Distribution Agreement (Capital Southwest Corp)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of the 1933 Act Regulations that has been filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement registration statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 2 contracts

Samples: Underwriting Agreement (Hcp, Inc.), Underwriting Agreement (Health Care Property Investors Inc)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf (a) A registration statement” as defined under Rule 405 statement on Form N-2, including a preliminary prospectus, for the registration of the 1933 Act Regulations that Offered Shares has been filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received prepared by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply Fund in all material respects accordance with the applicable requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Securities Act of 19391933, as amended (the “1939 Securities Act”), and the applicable rules and regulations of the Securities and Exchange Commission (the “Commission” or “SEC”) promulgated thereunder (the “Securities Act Regulations”), and the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC promulgated thereunder (collectively, the “1940 Act”) covering the Fund and the Shares. Such registration statement was initially filed by the Fund with the Commission under the 1939 Act on July 31, 2015 (File No. 333-208211) (the “1939 Act RegulationsRegistration Statement”). The Fund has prepared and filed such amendments thereto, if any, and did not and such amended preliminary prospectuses, if any, as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact may have been required to the date hereof and will file such additional amendments and supplements thereto as may hereafter be stated therein or necessary to make the statements therein not misleadingrequired. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending orAs used in this Agreement, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “ProspectusRegistration Statementrefers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to means the Registration Statement (including financial statements, exhibits and all other documents related thereto filed as a “Form T-1”). For purposes of this Section 1(apart thereof or incorporated therein), all references as amended through the date hereof, except that, if the Fund files any post-effective amendments to the Registration Statement, any “Registration Statement” shall refer to the Registration Statement as so amended by the last post-effective amendments thereto and amendment declared effective; the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, term XXXXX”).

Appears in 2 contracts

Samples: NorthStar Corporate Income Fund-T, NorthStar Corporate Income Fund-T

Compliance with Registration Requirements. The Registration Statement is Company meets the requirements for use of Form S-3 under the 1933 Act and has filed with the Securities and Exchange Commission (the “Commission”) an automatic shelf registration statement, as defined in Rule 405, on Form S-3 (File No. 333-136265) covering the registration of the Securities under the 1933 Act, including a related Base Prospectus. The Company may have filed with the Commission, as part of an amendment to the Registration Statement or pursuant to Rule 405 424(b) (“Rule 424(b)”) of the rules and regulations of the Commission under the 1933 Act Regulations that (the “1933 Act Regulations”), one or more preliminary prospectus supplements relating to the Securities, each of which has previously been filed furnished to you. Promptly after execution and delivery of this Agreement, the Company will prepare and file a final prospectus supplement relating to the Securities in accordance with Rule 424(b). As filed, such final prospectus supplement shall contain all information required by the Commission not earlier than three years 1933 Act and the 1933 Act Regulations, and, except to the extent the Representatives shall agree in writing to a modification, shall be in all substantive respects in the form furnished to you prior to the Execution Time or, to the extent not completed at the Execution Time, shall contain only such specific additional information and other changes (beyond that contained in the Base Prospectus and any Preliminary Prospectus) as the Company has advised you, prior to the Execution Time, will be included or made therein. The Registration Statement, at the Execution Time, meets the requirements set forth in Rule 415(a)(1)(x). For purposes of this Agreement, all references to the Registration Statement, the Base Prospectus, any Preliminary Prospectus, the Final Prospectus or any amendment or supplement to any of the foregoing shall be deemed to include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 which were filed under the 1934 Act on or before the Effective Date of the Registration Statement or the issue date hereofof the Base Prospectus, any Preliminary Prospectus or the Final Prospectus, as the case may be; and no notice any reference herein to the terms “amend,” “amendment” or “supplement” with respect to the Registration Statement, the Base Prospectus, any Preliminary Prospectus or the Final Prospectus shall be deemed to refer to and include the filing of objection any document under the 1934 Act after the Effective Date of the Commission Registration Statement or the issue date of the Base Prospectus, any Preliminary Prospectus or the Final Prospectus, as the case may be, deemed to be incorporated therein by reference. Each of the use Registration Statement and any post-effective amendment thereto has become effective under the 1933 Act and no stop order suspending the effectiveness of such the Registration Statement or any post-effective amendment thereto pursuant or notice objecting to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement its use has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The ProspectusOn each Effective Date, the Registration Statement did, and when the Final Prospectus is first filed in accordance with Rule 424(b) and at the Representation Date Closing Time, the Final Prospectus (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use and any supplement thereto) will, comply in connection all material respects with the offering applicable requirements of the Securities which differs from 1933 Act and the Prospectus filed with 1933 Act Regulations, the Commission 1934 Act and the respective rules thereunder (the “1934 Act Regulations”) and the 1939 Act and the respective rules thereunder (the “1939 Act Regulations”); on each Effective Date and at the Execution Time, the Registration Statement did not and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary in order to make the statements therein not misleading; and on the date of any filing pursuant to Rule 424(b) of the 1933 Act Regulations, in which case and at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and the Final Prospectus (together with any supplement thereto) will not include an any untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the Company makes no representations and or warranties in this subsection as to (ivi) that part of the Registration Statement which shall not apply to statements constitute the Statement of Eligibility (Form T-1) under the 1939 Act of the Trustee or (ii) the information contained in or omissions omitted from the Registration Statement or the Final Prospectus made (or any supplement thereto) in reliance upon and in conformity with information furnished in writing to the Company in writing by or on behalf of any Underwriter through the Representatives expressly specifically for use inclusion in the Registration Statement or the Final Prospectus (or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”supplement thereto).

Appears in 2 contracts

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

Compliance with Registration Requirements. The Company meets the requirements for use of Form S-3 under the 1933 Act. The Registration Statement is an “automatic shelf registration statement” (as defined under in Rule 405 of the 1933 Act Regulations that (“Rule 405”)) and the Securities have been and remain eligible for registration by the Company on such automatic shelf registration statement. Each of the Registration Statement and any post-effective amendment thereto has been filed with become effective under the Commission not earlier than three years prior to the date hereof; 1933 Act and no notice of objection stop order suspending the effectiveness of the Commission to the use of such Registration Statement or any post-effective amendment thereto is in effect and no proceedings for that purpose have been instituted or are pending or, to the knowledge of the Company, are threatened by the Commission, and any request on the part of the Commission for additional information has been complied with. The Company has not received from the Commission any notice pursuant to Rule 401(g)(2) objecting to use of the 1933 Act Regulations has been received automatic shelf registration statement form. If at any time when the Securities remain unsold by the CompanyUnderwriter the Company receives from the Commission a notice pursuant to Rule 401(g)(2) or otherwise ceases to be eligible to use the automatic shelf registration statement form, the Company will (i) promptly notify the Underwriter, (ii) promptly file a new registration statement or post-effective amendment on the proper form relating to the Securities, in a form satisfactory to the Underwriter, (iii) use its best efforts to cause such registration statement or post-effective amendment to be declared effective as soon as practicable, and (iv) promptly notify the Underwriter of such effectiveness. The Company will take all other action necessary or appropriate to permit the public offering and sale of the Securities to continue as contemplated in the Registration Statement that was the subject of the Rule 401(g)(2) notice or for which the Company has otherwise become ineligible. References herein to the Registration Statement relating to the Securities shall include such new registration statement or post-effective amendment, as the case may be. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto amendment thereto, at the time of its effectiveness and at each deemed effective date with respect to the Underwriter pursuant to Rule 430B(f)(2) under the 1933 Act Regulations, complied in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations. Each preliminary prospectus (including the prospectus filed as part of the Registration Statement as originally filed or as part of any amendment thereto), at the time it was filed, complied in all material respects with the 1933 Act Regulations and each preliminary prospectus and the Prospectus delivered to the Underwriter for use in connection with this offering was identical to the electronically transmitted copies thereof filed with the Commission pursuant to XXXXX or IDEA, except to the extent permitted by Regulation S-T. The documents incorporated or deemed to be incorporated by reference in the Registration Statement and the Prospectus, when they became effective and as of or at the Representation Datetime they were or hereafter are filed with the Commission, complied and will comply in all material respects with the requirements of the Securities Exchange Act of 1934, as amended (the “1934 Act”) and the rules and regulations of the Commission under the 1934 Act (the “1934 Act Regulations”). The Registration Statement and any amendments thereto, at its effective time and at the Closing Time (and, if any Option Securities are purchased, at the Date of Delivery), complied and will comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No Neither the Prospectus nor any amendments or supplements thereto (including any prospectus wrapper), as of its date and at the Closing Time (and, if any Option Securities are purchased, at the Date of Delivery), included or will include an untrue statement of a material fact or omitted or will omit to state a material fact necessary in order suspending to make the effectiveness statements therein, in the light of the Registration Statement has been issued circumstances under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending orwhich they were made, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied withnot misleading. The documents incorporated or deemed to be incorporated by reference in the Registration Statement, the General Disclosure Package (as defined below) and the Prospectus, at the Representation Date (unless time the term “Prospectus” refers to a prospectus which has been provided to the Underwriters Registration Statement became effective or when such documents incorporated by the Company for use in connection with the offering of the Securities which differs from the Prospectus reference were filed with the Commission pursuant to Rule 424(b) of Commission, as the 1933 Act Regulationscase may be, when read together with the other information in which the Registration Statement, the General Disclosure Package or the Prospectus, as the case at the time it is first provided to the Underwriters for such use) and at Closing Timemay be, does did not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided. As of the Applicable Time (as defined below), howeverneither (x) the Issuer General Use Free Writing Prospectus(es) (as defined below) issued at or prior to the Applicable Time and the Statutory Prospectus (as defined below) as of the Applicable Time and the information included on Schedule C hereto, that all considered together (collectively, the representations and warranties “General Disclosure Package”), nor (y) any individual Issuer Limited Use Free Writing Prospectus, when considered together with the General Disclosure Package, included any untrue statement of a material fact or omitted to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. As used in this subsection (iv) shall not apply to statements and elsewhere in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).Agreement:

Appears in 2 contracts

Samples: Underwriting Agreement (Team Health Holdings Inc.), Underwriting Agreement (Team Health Holdings Inc.)

Compliance with Registration Requirements. (A) At the time that the Registration Statement was originally filed, (B) at the time of the most recent amendment thereto for the purposes of complying with Section 10(a)(3) of the 1933 Act (whether such amendment was by post-effective amendment, incorporated report filed pursuant to Section 13 or 15(d) of the 1934 Act or form of prospectus), (C) at the time the Company or any person acting on its behalf (within the meaning, for this clause only, of Rule 163(c) of the 1933 Act Regulations) made any offer relating to the Securities in reliance on the exemption of Rule 163 of the 1933 Act Regulations and (D) at the date hereof, the Company (x) was and is a “well-known seasoned issuer” as defined in Rule 405 of the 1933 Act Regulations (“Rule 405”) and (y) was not and is not an “ineligible issuer” as defined in Rule 405. The Registration Statement is an “automatic shelf registration statement,” as defined under in Rule 405 of 405, and the 1933 Act Regulations that Securities, since their registration on the Registration Statement, have been and remain eligible for registration by the Company on an “automatic shelf registration statement” as defined in Rule 405. The Company has been filed with not received from the Commission not earlier than three years prior to the date hereof; and no any notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by (“Rule 401(g)(2)”) objecting to the Companyuse of the automatic shelf registration statement form. Each At the earliest time after the original filing of the Registration Statement that the Company or another offering participant (with respect to the offering contemplated hereby) made a bona fide offer (within the meaning of Rule 164(h)(2) of the 1933 Act Regulations) of the Securities, the Company was not an “ineligible issuer,” as defined in Rule 405. The Registration Statement became effective upon filing under Rule 462(e) of the 1933 Act Regulations (“Rule 462(e)”) on November 5, 2018, and any post-effective amendment thereto also became effective upon filing under Rule 462(e). No stop order suspending the Base Prospectuseffectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose have been instituted or are pending or, at to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. Any offer that was a written communication relating to the Securities made by the Company or any person acting on its behalf (within the meaning, for this paragraph only, of Rule 163(c) of the 1933 Act Regulations) prior to the time that the Registration Statement was originally filed has been filed with the Commission in accordance with the exemption provided by Rule 163 of the 1933 Act Regulations (“Rule 163”) and otherwise complied with the requirements of Rule 163, including without limitation the legending requirement, to qualify such offer for the exemption from Section 5(c) of the 1933 Act provided by Rule 163. At the respective times the Registration Statement and any post-effective amendments thereto originally became effective and as any amendment thereto became effective, at the time the Company’s most recent Annual Report on Form 10-K was filed with the Commission, at each “new effective date” with respect to the Underwriters pursuant to Rule 430B(f)(2) of the Representation Date1933 Act Regulations, and at the Closing Time (and, if any Option Securities are purchased, at each Date of Delivery), the Registration Statement and any amendments and supplements thereto complied and will comply in all material respects with the applicable requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of Act, the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectusand, at the Representation date hereof and at the Closing Time (and, if any Option Securities are purchased, at each Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from Delivery), neither the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and nor any amendments or supplements thereto contained or will not include an contain any untrue statement of a material fact or omitted or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations . Each preliminary prospectus and warranties in this subsection (iv) shall not apply to statements in or omissions from Prospectus filed as part of the Registration Statement as originally filed or as part of any amendment thereto, or filed pursuant to Rule 424 under the 1933 Act, complied when so filed in all material respects with the 1933 Act and the 1933 Act Regulations and, if applicable, each preliminary prospectus and the Prospectus made in reliance upon and in conformity with information furnished delivered to the Company in writing by any Underwriter through the Representatives expressly Underwriters for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit connection with this offering was identical to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data GatheringEXXXX, Analysisexcept to the extent permitted by Regulation S-T of the Commission. As of the Applicable Time, neither (x) all Issuer General Use Free Writing Prospectuses (as defined below) issued at or prior to the Applicable Time and Retrieval system or its Interactive Data Electronic Applications system the Statutory Prospectus and the information included on Schedule C hereto, considered together (collectively, the XXXXXGeneral Disclosure Package”)., nor (y) any individual Issuer Limited Use Free Writing Prospectus, when considered together with the General Disclosure Package, included or will include any untrue statement of a material fact or omitted or will omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. As used in this subsection and elsewhere in this Agreement:

Appears in 2 contracts

Samples: Purchase Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp)

Compliance with Registration Requirements. (A) At the respective times the Registration Statement or any amendments thereto were filed with the Commission, (B) at the time of the most recent amendment to the Registration Statement for the purposes of complying with Section 10(a)(3) of the Securities Act (whether such amendment was by post-effective amendment, incorporated report filed pursuant to Section 13 or 15(d) of the Exchange Act or form of prospectus), (C) at any time the Company or any person acting on its behalf (within the meaning, for this clause only, of Rule 163(c)) made any offer relating to the Securities in reliance on the exemption of Rule 163 and (D) at the date hereof, the Company was and is a “well-known seasoned issuer” as defined in Rule 405. The Company meets the requirements for use of Form S-3ASR under the Securities Act, and the offering and sale of the Securities as contemplated hereby complies with, the requirements of Rule 415 under the Securities Act. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of and any post-effective amendments thereto were filed by the 1933 Act Regulations that has been filed Company with the Commission not earlier than three years prior to the date hereof; of this Agreement. The Registration Statement and any post-effective amendments thereto became effective under the Securities Act upon filing with the Commission. The Registration Statement is an “automatic shelf registration statement,” as defined in Rule 405, and the Securities have been and remain eligible for registration by the Company on an automatic shelf registration statement. No stop order suspending the effectiveness of the Registration Statement or any part thereof has been issued under the Securities Act and no proceedings for that purpose have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of under the 1933 Securities Act Regulations has been received by the Company. Each No order preventing or suspending the use of any preliminary prospectus or the Prospectus has been issued and no proceeding for that purpose has been instituted or, to the knowledge of the Registration Statement and Company, threatened or contemplated by the Base Prospectus, at Commission or the securities authority of any jurisdiction. Any request on the part of the Commission for additional information has been complied with. At the respective times the Registration Statement and any post-effective amendments thereto became effective (at each deemed effective date with respect to the Underwriters and as of the Representation Securities pursuant to Rule 430B(f)(2)), and at the Closing Date, complied the Registration Statement and any amendments and supplements thereto complied, complies and will comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”)Securities Act, and did not, does not and as of the Representation Date and at Closing Time do will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending At the effectiveness respective times that the Registration Statement or any amendment to any of the foregoing were filed, as of the earliest time after the filing of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the any other offering participant made a bona fide offer of the Securities have been instituted or are pending orwithin the meaning of Rule 164(h)(2), and at the date hereof, the Company was not and is not an “ineligible issuer” as defined in Rule 405, in each case without taking into account any determination made by the Commission pursuant to paragraph (2) of the definition of such term in Rule 405; and without limitation to the knowledge foregoing, the Company has at all relevant times met, meets and will at all relevant times meet the requirements of Rule 164 for the Company, are use of a free writing prospectus (as defined in Rule 405) in connection with the offering contemplated by hereby. The Preliminary Prospectus Supplement (including the Commission, and any request on the Base Prospectus filed as part of the Commission for additional information has been Registration Statement or any amendment thereto) complied with. The Prospectus, at when so filed in all material respects with the Representation Date (unless Securities Act and any such preliminary prospectus and the term “Prospectus” refers to a prospectus which has been provided Prospectus and any amendments or supplements thereto delivered or made available to the Underwriters by the Company for use in connection with the offering of any Securities was and will be, at the Securities which differs from time of such delivery, identical to the Prospectus electronically transmitted copies thereof filed with the Commission pursuant to Rule 424(b) XXXXX, except to the extent permitted by Regulation S-T. Each Issuer Free Writing Prospectus, as of its issue date and as of the 1933 Act Regulationsrelevant Applicable Time and Closing Date, or until any earlier date that the issuer notified or notifies each Underwriter as described in which case at the time it is first provided to the Underwriters for such useSection 3(e) and at Closing Timehereof, did not, does not and will not (i) include any information that conflicted, conflicts or will conflict with the information contained in the Registration Statement or the Prospectus, including any document incorporated by reference therein that has not been superseded or modified or (ii) when taken together with the Prospectus, include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the . The representations and warranties in this subsection (iv) the preceding three paragraphs shall not apply to statements in or omissions from the Registration Statement Statement, or Prospectus any post-effective amendment thereto, or the Prospectus, made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”)Content.

Appears in 2 contracts

Samples: Underwriting Agreement (Healthcare Trust of America Holdings, LP), Underwriting Agreement (Healthcare Trust of America Holdings, LP)

Compliance with Registration Requirements. (A) At the time that the Registration Statement was originally filed, (B) at the time of the most recent amendment thereto for the purposes of complying with Section 10(a)(3) of the 1933 Act (whether such amendment was by post-effective amendment, incorporated report filed pursuant to Section 13 or 15(d) of the 1934 Act or form of prospectus), (C) at the time the Company or any person acting on its behalf (within the meaning, for this clause only, of Rule 163(c) of the 1933 Act Regulations) made any offer relating to the Securities in reliance on the exemption of Rule 163 of the 1933 Act Regulations and (D) at the date hereof, the Company (x) was and is a “well-known seasoned issuer” as defined in Rule 405 of the 1933 Act Regulations (“Rule 405”) and (y) was not and is not an “ineligible issuer” as defined in Rule 405. The Registration Statement is an “automatic shelf registration statement,” as defined under in Rule 405 of 405, and the 1933 Act Regulations that Securities, since their registration on the Registration Statement, have been and remain eligible for registration by the Company on an “automatic shelf registration statement” as defined in Rule 405. The Company has been filed with not received from the Commission not earlier than three years prior to the date hereof; and no any notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by (“Rule 401(g)(2)”) objecting to the Companyuse of the automatic shelf registration statement form. Each At the earliest time after the original filing of the Registration Statement and that the Base Prospectus, at Company or another offering participant (with respect to the respective times offering contemplated hereby) made a bona fide offer (within the Registration Statement and any post-effective amendments thereto became effective and as meaning of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a164(h)(2) of the 1933 Act Regulations)) of the Securities, and the Company was not an “ineligible issuer,” as defined in Rule 405. The Indenture has been duly qualified under the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations Trustee has duly filed with the Commission a Statement of Eligibility on Form T-1 as an exhibit to the Registration Statement or pursuant to Section 305(b)(2) of the Commission 1939 Act. The Registration Statement became effective upon filing under Rule 462(e) of the 1939 1933 Act Regulations (the 1939 Act RegulationsRule 462(e))) on March 24, 2009, and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleadingany post-effective amendment thereto also became effective upon filing under Rule 462(e). No stop order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to Any offer that was a prospectus which has been provided written communication relating to the Underwriters Securities made by the Company or any person acting on its behalf (within the meaning, for use in connection with the offering this paragraph only, of Rule 163(c) of the Securities which differs from 1933 Act Regulations) prior to the Prospectus time that the Registration Statement was originally filed has been filed with the Commission in accordance with the exemption provided by Rule 163 of the 1933 Act Regulations (“Rule 163”) and otherwise complied with the requirements of Rule 163, including without limitation the legending requirement, to qualify such offer for the exemption from Section 5(c) of the 1933 Act provided by Rule 163. At the respective times the Registration Statement originally became effective and any amendment thereto became effective, at the time the Company’s most recent Annual Report on Form 10-K was filed with the Commission, at each “new effective date” with respect to the Underwriters pursuant to Rule 424(b430B(f)(2) of the 1933 Act Regulations, in which case and at the time it is first provided to the Underwriters for such use) and at Closing Time, does the Registration Statement and any amendments and supplements thereto complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1933 Act Regulations, the 1939 Act, and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and will not include contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading, and, at the date hereof and at the Closing Time, neither the Prospectus nor any amendments or supplements thereto contained or will contain any untrue statement of a material fact or omitted or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations . Each preliminary prospectus and warranties in this subsection (iv) shall not apply to statements in or omissions from Prospectus filed as part of the Registration Statement as originally filed or as part of any amendment thereto, or filed pursuant to Rule 424 under the 1933 Act, complied when so filed in all material respects with the 1933 Act and the 1933 Act Regulations and, if applicable, each preliminary prospectus and the Prospectus made in reliance upon and in conformity with information furnished delivered to the Company in writing by any Underwriter through the Representatives expressly Underwriters for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit connection with this offering was identical to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data GatheringXXXXX, Analysisexcept to the extent permitted by Regulation S-T of the Commission. As of the Applicable Time, neither (x) all Issuer General Use Free Writing Prospectuses (as defined below) issued at or prior to the Applicable Time (including, without limitation, the Pricing Term Sheet, as hereinafter defined) and Retrieval system or its Interactive Data Electronic Applications system the Statutory Prospectus, considered together (collectively, the XXXXXGeneral Disclosure Package”)., nor (y) any individual Issuer Limited Use Free Writing Prospectus, when considered together with the General Disclosure Package, included or will include any untrue statement of a material fact or omitted or will omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. As used in this subsection and elsewhere in this Agreement:

Appears in 2 contracts

Samples: Purchase Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp)

Compliance with Registration Requirements. The Registration Statement is an Company has filed with the Securities and Exchange Commission (the automatic Commission”) a shelf registration statement” statement on Form S‑3 (File No. 333‑225628) under the Securities Act of 1933, as defined amended (the “1933 Act”), in respect of the Common Stock (including the Securities) on June 14, 2018, which contains a base prospectus, to be used in connection with the public offering and sale of the Securities; the Company satisfies all eligibility requirements for use of Form S‑3 as contemplated by such registration statement and this Agreement; such registration statement became effective on June 14, 2018 under Rule 405 of 462(e) the 1933 Act Regulations that (“Rule 462(e)”) upon filing, and any post-effective amendment thereto also became effective upon filing under Rule 462(e); the Company has complied to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information with respect to such registration statement or otherwise; no stop order suspending the effectiveness of such registration statement or any part thereof has been filed with the Commission not earlier than three years prior issued and no proceeding for that purpose has been initiated or, to the date hereof; knowledge of the Company, threatened by the Commission, and no notice of objection of the Commission to the use of such Registration Statement form of registration statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each Company (the base prospectus filed as part of such registration statement, in the Registration Statement and form in which it was filed with the Commission on or prior to the date of this Agreement, is hereinafter called the “Base Prospectus”); the various parts of such registration statement, at the respective times the Registration Statement including all exhibits thereto and any post-effective amendments thereto became effective and as of prospectus supplement or prospectus relating to the Representation Date, complied and comply in all material respects Securities that is filed with the requirements Commission and deemed by virtue of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued 430B under the 1933 Act to be part of such registration statement (any such information that was omitted from such registration statement at the time it became effective but that was deemed to be a part and no proceedings for that purpose or included in such registration statement pursuant to Section 8A of Rule 430B under the 1933 Act against the Company or related is referred to the offering of the Securities have been instituted or are pending oras “430B Information”), to the knowledge of the Company, are contemplated by the Commission, and any request on the each as amended at each time such part of the Commission for additional information has been complied with. The Prospectusregistration statement became effective, at are hereinafter collectively called the Representation Date (unless the term Prospectus” refers to a Registration Statement”; each preliminary prospectus which has been provided to the Underwriters by the Company for use used in connection with the offering of the Securities which differs from that omitted Rule 430B Information, including the related Base Prospectus in the form first filed by the Company pursuant to Rule 424(b) under the 1933 Act is herein called, a “Preliminary Prospectus”; the final prospectus supplement specifically relating to the Securities prepared and filed with the Commission pursuant to Rule 424(b) of under the 1933 Act Regulationsis hereinafter called the “Prospectus Supplement”; the Base Prospectus, in which case at as amended and supplemented by the time it Prospectus Supplement, is first provided hereinafter called the “Prospectus”; any reference herein to the Underwriters for such use) Base Prospectus, each Preliminary Prospectus or the Prospectus shall be deemed to refer to and at Closing Time, does not and will not include an untrue statement the documents incorporated by reference therein pursuant to Item 12 of a material fact or omit to state a material fact necessary in order to make Form S‑3 under the statements therein, in the light of the circumstances under which they were made, not misleading1933 Act; provided, however, that no representation or warranty included in any exhibit to any such incorporated document, other than the representations and warranties in this subsection (iv) shall not apply contained herein, is deemed to statements in be made to you; any reference to any amendment or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished supplement to the Company in writing by Base Prospectus, any Underwriter through the Representatives expressly for use in the Registration Statement Preliminary Prospectus or the Prospectus or the information contained in shall be deemed to refer to and include any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references post-effective amendment to the Registration Statement, any post-effective amendments thereto and prospectus supplement or base prospectus relating to the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof Securities filed with the Commission pursuant to its Electronic Data GatheringRule 424(b) under the 1933 Act and any documents filed under the Securities Exchange Act of 1934, Analysisas amended (the “1934 Act”), and Retrieval system incorporated therein, in each case after the date of the Base Prospectus, each Preliminary Prospectus or its Interactive Data Electronic Applications system (collectivelythe Prospectus, “XXXXX”)as the case may be; any reference to any amendment to the Registration Statement shall be deemed to refer to and include any annual report of the Company filed pursuant to Section 13(a) or 15(d) of the 1934 Act after the effective date of the Registration Statement that is incorporated by reference in the Registration Statement.

Appears in 2 contracts

Samples: Underwriting Agreement (AGNC Investment Corp.), Underwriting Agreement (AGNC Investment Corp.)

Compliance with Registration Requirements. The Company meets the requirements for use of Form S-3 under the 1933 Act. The Registration Statement is an “automatic shelf registration statement” (as defined under in Rule 405 405) and the Securities are eligible for registration by the Company on such automatic shelf registration statement. Each of the 1933 Act Regulations that Registration Statement and any post-effective amendment thereto has been filed become effective upon filing with the Commission not earlier than three years prior to under the date hereof; and no notice of objection 1933 Act. No stop order suspending the effectiveness of the Commission to the use of such Registration Statement or any post-effective amendment thereto has been issued or is in effect under the 1933 Act, no order preventing or suspending the use of any preliminary prospectus or the Prospectus has been issued and no proceedings for any of those purposes or pursuant to Rule 401(g)(2) Section 8A of the 1933 Act Regulations has have been received instituted or are pending or, to the knowledge of the Company, threatened by the CompanyCommission. The Company has complied with each request (if any) from the Commission for additional information. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became amendment thereto, at the time of its effectiveness and at each deemed effective date with respect to the Underwriter pursuant to Rule 430B(f)(2) under the 1933 Act Regulations, the Applicable Time, the Closing Time and as any Date of Delivery complied in all material respects with the requirements of the Representation Date1933 Act and the 1933 Act Regulations. Each preliminary prospectus, the Prospectus and any amendment or supplement thereto, at the time each was filed with the Commission, and, in each case, at the Applicable Time, the Closing Time and any Date of Delivery complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) and each preliminary prospectus and the Prospectus delivered by the Company to the Underwriter for use in connection with this offering was identical to the electronically transmitted copies thereof filed with the Commission pursuant to XXXXX, except to the extent permitted by Regulation S-T. The documents incorporated or deemed to be incorporated by reference in the Registration Statement and the Prospectus, when they became effective or at the time they were or hereafter are filed with the Commission, complied and will comply in all material respects with the requirements of the 1933 1934 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 1934 Act (the “1939 1934 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 2 contracts

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

Compliance with Registration Requirements. (A) At the time that the Registration Statement was originally filed, (B) at the time of the most recent amendment thereto for the purposes of complying with Section 10(a)(3) of the 1933 Act (whether such amendment was by post-effective amendment, incorporated report filed pursuant to Section 13 or 15(d) of the 1934 Act or form of prospectus), (C) at the time the Company or any person acting on its behalf (within the meaning, for this clause only, of Rule 163(c) of the 1933 Act Regulations) made any offer relating to the Securities in reliance on the exemption of Rule 163 of the 1933 Act Regulations and (D) at the date hereof, the Company (x) was and is a “well-known seasoned issuer” as defined in Rule 405 of the 1933 Act Regulations (“Rule 405”) and (y) was not and is not an “ineligible issuer” as defined in Rule 405. The Registration Statement is an “automatic shelf registration statement,” as defined under in Rule 405 of 405, and the 1933 Act Regulations that Securities, since their registration on the Registration Statement, have been and remain eligible for registration by the Company on an “automatic shelf registration statement” as defined in Rule 405. The Company has been filed with not received from the Commission not earlier than three years prior to the date hereof; and no any notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by (“Rule 401(g)(2)”) objecting to the Companyuse of the automatic shelf registration statement form. Each At the earliest time after the original filing of the Registration Statement and that the Base Prospectus, at Company or another offering participant (with respect to the respective times offering contemplated hereby) made a bona fide offer (within the Registration Statement and any post-effective amendments thereto became effective and as meaning of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a164(h)(2) of the 1933 Act Regulations)) of the Securities, and the Company was not an “ineligible issuer,” as defined in Rule 405. The Indenture has been duly qualified under the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations Trustee has duly filed with the Commission a Statement of Eligibility on Form T-1 as an exhibit to the Registration Statement or pursuant to Section 305(b)(2) of the Commission 1939 Act. The Registration Statement became effective upon filing under Rule 462(e) of the 1939 1933 Act Regulations (the 1939 Act RegulationsRule 462(e))) on November 5, 2018, and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleadingany post-effective amendment thereto also became effective upon filing under Rule 462(e). No stop order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to Any offer that was a prospectus which has been provided written communication relating to the Underwriters Securities made by the Company or any person acting on its behalf (within the meaning, for use in connection with the offering this paragraph only, of Rule 163(c) of the Securities which differs from 1933 Act Regulations) prior to the Prospectus time that the Registration Statement was originally filed has been filed with the Commission in accordance with the exemption provided by Rule 163 of the 1933 Act Regulations (“Rule 163”) and otherwise complied with the requirements of Rule 163, including without limitation the legending requirement, to qualify such offer for the exemption from Section 5(c) of the 1933 Act provided by Rule 163. At the respective times the Registration Statement originally became effective and any amendment thereto became effective, at the time the Company’s most recent Annual Report on Form 10-K was filed with the Commission, at each “new effective date” with respect to the Underwriters pursuant to Rule 424(b430B(f)(2) of the 1933 Act Regulations, in which case and at the time it is first provided to the Underwriters for such use) and at Closing Time, does the Registration Statement and any amendments and supplements thereto complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1933 Act Regulations, the 1939 Act, and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and will not include contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading, and, at the date hereof and at the Closing Time, neither the Prospectus nor any amendments or supplements thereto contained or will contain any untrue statement of a material fact or omitted or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations . Each preliminary prospectus and warranties in this subsection (iv) shall not apply to statements in or omissions from Prospectus filed as part of the Registration Statement as originally filed or as part of any amendment thereto, or filed pursuant to Rule 424 under the 1933 Act, complied when so filed in all material respects with the 1933 Act and the 1933 Act Regulations and, if applicable, each preliminary prospectus and the Prospectus made in reliance upon and in conformity with information furnished delivered to the Company in writing by any Underwriter through the Representatives expressly Underwriters for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit connection with this offering was identical to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data GatheringXXXXX, Analysisexcept to the extent permitted by Regulation S-T of the Commission. As of the Applicable Time, neither (x) all Issuer General Use Free Writing Prospectuses (as defined below) issued at or prior to the Applicable Time (including, without limitation, the Pricing Term Sheet, as hereinafter defined) and Retrieval system or its Interactive Data Electronic Applications system the Statutory Prospectus, considered together (collectively, the XXXXXGeneral Disclosure Package”)., nor (y) any individual Issuer Limited Use Free Writing Prospectus, when considered together with the General Disclosure Package, included or will include any untrue statement of a material fact or omitted or will omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. As used in this subsection and elsewhere in this Agreement:

Appears in 2 contracts

Samples: Purchase Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp)

Compliance with Registration Requirements. (A) At the time of filing the Registration Statement, (B) at the time of the most recent amendment thereto for the purposes of complying with Section 10(a)(3) of the 1933 Act (whether such amendment was by post-effective amendment, incorporated report filed pursuant to Section 13 or 15(d) of the 1934 Act or form of prospectus), (C) at the time the Operating Partnership or the Company or any person acting on its or their behalf (within the meaning, for this clause only, of Rule 163(c) of the 1933 Act Regulations) made any offer relating to the Securities in reliance on the exemption of Rule 163 of the 1933 Act Regulations, and (D) on the date of this Agreement (with such date being used as the determination date for purposes of this clause (D)), each of the Operating Partnership and the Company was and is a “well-known seasoned issuer” (as defined in Rule 405 of the 1933 Act Regulations). The Registration Statement is an “automatic shelf registration statement”, as defined under in Rule 405 of the 1933 Act Regulations Regulations, that has been filed with the Commission not earlier than initially became effective within three years prior to of the date hereof; , and no notice of objection of neither the Operating Partnership nor the Company has received from the Commission to the use of such Registration Statement or any post-effective amendment thereto notice pursuant to Rule 401(g)(2) of the 1933 Act Regulations objecting to use of the automatic shelf registration statement form and neither the Operating Partnership nor the Company has been received by otherwise ceased to be eligible to use the Companyautomatic shelf registration statement form. Each No stop order suspending the effectiveness of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and or any post-effective amendments amendment thereto became effective has been issued under the 1933 Act, no order preventing or suspending the use of any preliminary prospectus or the Prospectus has been issued and as no proceedings for any of those purposes have been instituted or are pending or, to the knowledge of the Representation DateCompany and the Operating Partnership, contemplated. The Company and the Operating Partnership have complied and comply in all material respects with each request (if any) from the requirements Commission for additional information. The Registration Statement, at each time of effectiveness under the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations)each, and the Trust Indenture Act of 1939, as amended (the an 1939 ActEffective Date”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”)did not contain, and any post-effective amendment thereto, at such date, did not and as of the Representation Date and at Closing Time do not contain an contain, any untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the The Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending orStatement, to the knowledge of the Companyat each Effective Date, are contemplated by the Commissioncomplied, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus time it is filed with the Commission pursuant to Rule 424(b) of under the 1933 Act, and as amended or supplemented, if applicable, when so filed, will comply, in all material respects with the 1933 Act, the 1933 Act RegulationsRegulations and the Trust Indenture Act of 1939, in which case at as amended (the time it is first provided to “Trust Indenture Act”). The Prospectus, as of its date, did not include, and, as amended or supplemented, if applicable, and, as of the Underwriters for such use) and at Closing Time, does not and will not include an include, any untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the . The representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or the Prospectus made in reliance upon and in conformity with information furnished to the Company and the Operating Partnership in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or and to those parts of the information contained in any Registration Statement that constitute the Statement of Eligibility and Qualification of a trustee (Form T-1) under the 1939 Trust Indenture Act filed as an exhibit to of the Registration Statement (a “Form T-1”)Trustee. For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto The preliminary prospectus and the Prospectus shall be deemed delivered or made available to include, without limitation, any the Underwriters for use in connection with the offering of the Securities was identical to the electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data GatheringXXXXX, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).except to the extent permitted by Regulation S-T.

Appears in 2 contracts

Samples: Purchase Agreement (Plum Creek Timber Co Inc), Purchase Agreement (Plum Creek Timber Co Inc)

Compliance with Registration Requirements. The (A) (1) At the time of filing the Registration Statement is an and (2) at the time of the most recent amendment thereto for the purposes of complying with Section 10(a)(3) of the 1933 Act (whether such amendment was by post-effective amendment, incorporated report filed pursuant to Section 13 or 15(d) of the 1934 Act or form of prospectus), the Company met the requirements for use of Form S-3 as set forth in General Instruction I.A to such form, (B) at the time the Company or any person acting on its behalf (within the meaning, for this clause only, of Rule 163(c) under the 1000 Xxx) made any offer relating to the Shares in reliance on the exemption of Rule 163 under the 1933 Act, the Company was a automatic shelf registration statementwell known seasoned issuer” as defined in Rule 405 under the 1933 Act, (C) at the earliest time thereafter that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) of the 1933 Act Regulations) of the Shares, and (D) at the date hereof, the Company was not an “ineligible issuer” as defined in Rule 405 of the 1933 Act Regulations that has been filed with (“Rule 405”). The Company satisfies the Commission not earlier than three years prior eligibility requirements for use of Form S-3 under the 1933 Act set forth in General Instruction I.A to such form and satisfies the date hereof; and no notice of objection of the Commission to transaction eligibility requirements for the use of Form S-3 as set forth in General Instruction I.B.1 to such form and, at the time the Registration Statement was filed and at the Applicable Time, the Company satisfied, and will satisfy, the eligibility requirements for the use of Form S-3 under the 1933 Act that were in effect prior to October 21, 1992. The Registration Statement has become effective under the 1933 Act; no stop order suspending the effectiveness of the Registration Statement or any post-effective amendment thereto pursuant has been issued; no proceedings for that purpose have been instituted or are pending or, to Rule 401(g)(2) the knowledge of the 1933 Act Regulations Company, are contemplated by the Commission; and any request on the part of the Commission for additional information has been received by the Companycomplied with. Each of the Registration Statement and the Base Prospectus, at At the respective times the Registration Statement and any post-effective amendments thereto became effective and as of at the Representation Delivery Date, complied the Registration Statement and any amendments and supplements thereto complied, complies and will comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not, does not and as of the Representation Date and at Closing Time do will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending Neither the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose Prospectus nor any amendments or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectussupplements thereto, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from time the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case or any such amendment or supplement was issued and at the time it is first provided to the Underwriters for such use) and at Closing TimeDelivery Date, does not and included, includes or will not include an untrue statement of a material fact or omitted, omits or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that . Each preliminary prospectus and the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from prospectus filed as part of the Registration Statement as originally filed or as part of any amendment thereto, or filed pursuant to Rule 424 under the 1933 Act, complied when so filed in all material respects with the 1933 Act and the 1933 Act Regulations, and each preliminary prospectus and the Prospectus made in reliance upon and in conformity with information furnished delivered to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit connection with this offering was identical to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data GatheringEXXXX, Analysisexcept to the extent permitted by Regulation S-T. The Issuer-Represented General Free Writing Prospectus (as defined below) issued at or prior to the Applicable Time (as defined below) and the Statutory Prospectus (as defined below), and Retrieval system or its Interactive Data Electronic Applications system all considered together (collectively, the XXXXXGeneral Disclosure Package”)., as of the Applicable Time and the Delivery Date (as defined herein), will not contain any untrue statement of a material fact or omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. As used in this Agreement:

Appears in 2 contracts

Samples: Underwriting Agreement (United Community Banks Inc), Underwriting Agreement (United Community Banks Inc)

Compliance with Registration Requirements. The A registration statement on Form S-3 (File No. 333-201171) (the “Initial Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 Statement”) in respect of the 1933 Act Regulations that Shares has been filed with the Securities and Exchange Commission not earlier than three years prior to (the date hereof“Commission”); and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Initial Registration Statement and any post-effective amendments thereto became effective and as amendment thereto, each in the form heretofore delivered to the Representative for each of the Representation Dateother Underwriters, complied and comply excluding exhibits to the Initial Registration Statement, but including all documents incorporated by reference in all material respects with the requirements prospectus included therein, has been declared effective by the Commission in such form; other than a registration statement, if any increasing the size of the 1933 Act and the 1933 Act Regulations offering (including a “Rule 415(a462(b) of the 1933 Act RegulationsRegistration Statement”), and filed pursuant to Rule 462(b) under the Trust Indenture Securities Act of 19391933, as amended (the “1939 Act”), and which became effective upon filing, no other document with respect to the rules and regulations of Initial Registration Statement or document incorporated by reference therein has heretofore been filed, or transmitted for filing, with the Commission (other than prospectuses filed pursuant to Rule 424(b) under the 1939 Act (Act, each in the “1939 Act Regulations”form heretofore delivered to the Representative), ; and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No no stop order suspending the effectiveness of the Initial Registration Statement Statement, any post-effective amendment thereto or any part thereof or the Rule 462(b) Registration Statement, if any, has been issued under the 1933 Act and no proceedings proceeding for that purpose has been initiated or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated threatened by the Commission, and any request on Commission (the base prospectus filed as part of the Initial Registration Statement, in the form in which it has most recently been filed with the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided on or prior to the Underwriters by date of this Agreement relating to the Company for use in connection with Shares, is hereinafter called the offering of “Basic Prospectus”; any preliminary prospectus (including any preliminary prospectus supplement) relating to the Securities which differs from the Prospectus Shares filed with the Commission pursuant to Rule 424(b) under the Act is hereinafter called a “Preliminary Prospectus”; the various parts of the 1933 Initial Registration Statement and the Rule 462(b) Registration Statement, if any, including all exhibits thereto and including any prospectus supplement relating to the Shares that is filed with the Commission and deemed by virtue of Rule 430B under the Act Regulationsto be part of the Initial Registration Statement, in which case each as amended at the time it is first provided such part of the Initial Registration Statement became effective or such part of the Rule 462(b) Registration Statement, if any, became or hereafter becomes effective, are hereinafter collectively called the “Registration Statement”; the Basic Prospectus, as amended and supplemented immediately prior to the Underwriters for such useApplicable Time (as defined in Section 2(c) and at Closing Timehereof), does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make is hereinafter called the statements therein, in “Pricing Prospectus”; the light form of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished final prospectus relating to the Company Shares filed with Commission pursuant to Rule 424(b) under the Act in writing by accordance with Section 4(a) hereof is hereinafter called the “Prospectus”; any Underwriter through reference herein to the Representatives expressly for use in Basic Prospectus, the Registration Statement Pricing Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3, as of the date of such prospectus; any reference to any amendment or supplement to the Basic Prospectus, any Preliminary Prospectus or the information contained in Prospectus shall be deemed to refer to and include any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references post-effective amendment to the Registration Statement, any post-effective amendments thereto and prospectus supplement relating to the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof Shares filed with the Commission pursuant to its Electronic Data GatheringRule 424(b) under the Act and any documents filed under the Securities Exchange Act of 1934, Analysisas amended (the “Exchange Act”), and Retrieval system incorporated by reference therein, in each case after the date of the Basic Prospectus, such Preliminary Prospectus or its Interactive Data Electronic Applications system (collectivelythe Prospectus, “XXXXX”)as the case may be; and any reference to any amendment to the Registration Statement shall be deemed to refer to and include any annual report of the Company filed pursuant to Section 13(a) or 15(d) of the Exchange Act after the effective date of the Registration Statement that is incorporated by reference in the Registration Statement.

Appears in 2 contracts

Samples: Common Stock (TherapeuticsMD, Inc.), Underwriting Agreement (TherapeuticsMD, Inc.)

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Compliance with Registration Requirements. The Registration Statement is Company has filed with the Securities and Exchange Commission (the “Commission”) an “automatic shelf registration statement” as defined under Rule 405 under the Securities Act of 1933, as amended (the “1933 Act”), on Form S-3 (File No. 333-156002), in respect of certain of the 1933 Act Regulations that has been filed with Company’s securities, including the Commission Common Stock, not earlier than three years prior to the date hereof; such registration statement, and any post-effective amendment thereto, became effective on filing; and no stop order suspending the effectiveness of such registration statement or any part thereof has been issued and no proceeding for that purpose has been initiated or, to the knowledge of the Company, threatened by the Commission, and no notice of objection of the Commission to the use of such Registration Statement form of registration statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of under the 1933 Act Regulations has been received by the Company. Each Company (the base prospectus filed as part of such registration statement, in the form in which it has most recently been filed with the Commission on or prior to the date of this Agreement, is hereinafter called the “Basic Prospectus”; the various parts of such registration statement, excluding any Form T-1 but including all other exhibits thereto and any prospectus supplement or prospectus relating to the Shares that is filed with the Commission and deemed by virtue of Rule 430B under the 1933 Act to be part of such registration statement, each as amended at the time such part of the registration statement became effective, are hereinafter collectively called the “Registration Statement Statement”; the prospectus supplement specifically relating to the Shares prepared and filed with the Base Commission pursuant to Rule 424(b) under the 1933 Act is hereinafter called the “Prospectus Supplement”; the Basic Prospectus, at as amended and supplemented by the respective times Prospectus Supplement, is hereinafter called the Registration Statement “Prospectus”; any reference herein to the Basic Prospectus, the Prospectus Supplement or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under the 1933 Act; any reference to any amendment or supplement to the Basic Prospectus, the Prospectus Supplement or the Prospectus shall be deemed to refer to and include any post-effective amendments thereto became effective and as of amendment to the Representation DateRegistration Statement, complied and comply in all material respects any prospectus supplement or base prospectus relating to the Shares filed with the requirements of Commission pursuant to Rule 424(b) under the 1933 Act and any documents filed under the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Securities Exchange Act of 19391934, as amended (the “1939 1934 Act”), and the rules and regulations of the Commission under the 1939 Act thereunder (the “1939 1934 Act Regulations”) and incorporated therein, in each case after the date of the Basic Prospectus, the Prospectus Supplement or the Prospectus, as the case may be; any reference to any amendment to the Registration Statement shall be deemed to refer to and include any annual report of the Company filed pursuant to Section 13(a) or 15(d) of the 1934 Act after the effective date of the Registration Statement that is incorporated by reference in the Registration Statement; and any “issuer free writing prospectus” as defined in Rule 433 under the 1933 Act relating to the Shares is hereinafter called an “Issuer Free Writing Prospectus”). No order preventing or suspending the use of the Basic Prospectus, the Prospectus Supplement, the Prospectus or any Issuer Free Writing Prospectus has been issued by the Commission, and did not the Basic Prospectus and as the Prospectus Supplement, at the time of filing thereof, conformed in all material respects to the requirements of the Representation Date 1933 Act and at Closing Time do the rules and regulations of the Commission thereunder (the “1933 Act Regulations”) and did not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 2 contracts

Samples: Terms Agreement (UDR, Inc.), Equity Offeringsm Sales Agreement (UDR, Inc.)

Compliance with Registration Requirements. The Registration Statement is an Company has filed with the Securities and Exchange Commission (the automatic Commission”) a shelf registration statement” statement on Form S‑3 (File No. 333‑170374) under the Securities Act of 1933, as defined amended (the “1933 Act”), in respect of the Common Stock (including the Securities) on November 4, 2010, which contains a base prospectus, to be used in connection with the public offering and sale of the Securities; the Company satisfies all eligibility requirements for use of Form S‑3 as contemplated by such registration statement and this Agreement; such registration statement became effective under Rule 405 of the 1933 Act Regulations that upon filing; the Company has complied to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information with respect to such registration statement or otherwise; no stop order suspending the effectiveness of such registration statement or any part thereof has been filed with the Commission not earlier than three years prior issued and no proceeding for that purpose has been initiated or, to the date hereof; knowledge of the Company, threatened by the Commission, and no notice of objection of the Commission to the use of such Registration Statement form of registration statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each Company (the base prospectus filed as part of such registration statement, in the Registration Statement and form in which it was filed with the Base Commission on or prior to the date of this Agreement, is hereinafter called the “Basic Prospectus”); the various parts of such registration statement, at the respective times the Registration Statement including all exhibits thereto and any post-effective amendments thereto became effective and as of prospectus supplement or prospectus relating to the Representation Date, complied and comply in all material respects Securities that is filed with the requirements Commission and deemed by virtue of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued 430B under the 1933 Act to be part of such registration statement (any such information that was omitted from such registration statement at the time it became effective but that was deemed to be a part and no proceedings for that purpose or included in such registration statement pursuant to Section 8A of Rule 430B under the 1933 Act against the Company or related is referred to the offering of the Securities have been instituted or are pending oras “430B Information”), to the knowledge of the Company, are contemplated by the Commission, and any request on the each as amended at each time such part of the Commission for additional information has been complied with. The Prospectusregistration statement became effective, at are hereinafter collectively called the Representation Date (unless the term Prospectus” refers to a Registration Statement”; each preliminary prospectus which has been provided to the Underwriters by the Company for use used in connection with the offering of the Securities which differs from that omitted Rule 430B Information, including the related Basic Prospectus in the form first filed by the Company pursuant to Rule 424(b) under the 1933 Act is herein called, a “Preliminary Prospectus”; the final prospectus supplement specifically relating to the Securities prepared and filed with the Commission pursuant to Rule 424(b) of under the 1933 Act Regulationsis hereinafter called the “Prospectus Supplement”; the Basic Prospectus, in which case at as amended and supplemented by the time it Prospectus Supplement, is first provided hereinafter called the “Prospectus”; any reference herein to the Underwriters for such use) Basic Prospectus, each Preliminary Prospectus or the Prospectus shall be deemed to refer to and at Closing Time, does not and will not include an untrue statement the documents incorporated by reference therein pursuant to Item 12 of a material fact or omit to state a material fact necessary in order to make Form S‑3 under the statements therein, in the light of the circumstances under which they were made, not misleading1933 Act; provided, however, that no representation or warranty included in any exhibit to any such incorporated document, other than the representations and warranties in this subsection (iv) shall not apply contained herein, is deemed to statements in be made to you; any reference to any amendment or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished supplement to the Company in writing by Basic Prospectus, any Underwriter through the Representatives expressly for use in the Registration Statement Preliminary Prospectus or the Prospectus or the information contained in shall be deemed to refer to and include any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references post-effective amendment to the Registration Statement, any post-effective amendments thereto and prospectus supplement or base prospectus relating to the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof Securities filed with the Commission pursuant to its Electronic Data GatheringRule 424(b) under the 1933 Act and any documents filed under the Securities Exchange Act of 1934, Analysisas amended (the “1934 Act”), and Retrieval system incorporated therein, in each case after the date of the Basic Prospectus, each Preliminary Prospectus or its Interactive Data Electronic Applications system (collectivelythe Prospectus, “XXXXX”)as the case may be; any reference to any amendment to the Registration Statement shall be deemed to refer to and include any annual report of the Company filed pursuant to Section 13(a) or 15(d) of the 1934 Act after the effective date of the Registration Statement that is incorporated by reference in the Registration Statement.

Appears in 2 contracts

Samples: Underwriting Agreement (American Capital Agency Corp), Underwriting Agreement (American Capital Agency Corp)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of the 1933 Act Regulations that Company has been prepared and filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement or any posta registration statement (File No. 333-effective amendment thereto pursuant to Rule 401(g)(2232492) of on Form N-2, including a related basic prospectus, for registration under the 1933 Act Regulations has been received by the Company. Each of the offering and sale of the Shares (the “Registration Statement and the Base ProspectusStatement”). Such Registration Statement, at the respective times the Registration Statement and including any post-effective amendments thereto became effective filed prior to the date and as of time that this Agreement is executed and delivered by the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended parties hereto (the “1939 ActExecution Time”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”)has become effective, and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No no stop order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act issued, and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities any such purpose, have been instituted or are pending or, to the knowledge of the Company, are contemplated have been threatened by the Commission, and any request on the part of the Commission for additional information with respect thereto has been complied with. The Company may have filed, as part of an amendment to the Registration Statement or pursuant to Rule 497 under the 1933 Act or such other 1933 Act rule as may be applicable to the Company, one or more amendments thereto, each of which has previously been furnished to you. The Company will file with the Commission one or more prospectus supplements (each, a “Prospectus Supplement” and collectively, the “Prospectus Supplements”) related to the Shares in accordance with Rule 497 under the 1933 Act or such other 1933 Act rule as may be applicable to the Company, including all documents incorporated or deemed to be incorporated therein by reference pursuant to the SBCAA or the rules of the Commission promulgated thereunder or otherwise. As filed, such Prospectus Supplements, together with the Basic Prospectus, shall contain all information required by the 1933 Act and the 1940 Act and, except to the extent the Manager shall agree in writing to a modification, shall be in all substantive respects in the form furnished to you prior to the Execution Time or prior to any such time this representation is repeated or deemed to be made. The Registration Statement, at the Representation Execution Time, as of the time of each sale of Shares pursuant to this Agreement (each, a “Time of Sale”), at each Settlement Date (unless the term “Prospectus” refers to as defined in Section 3(a)(vi) hereof), and at all times during which a prospectus which has been provided to the Underwriters is required by the Company for use 1933 Act to be delivered in connection with any sale of Shares, meets or will meet the offering requirements set forth in Rule 415(a)(1)(x) under the 1933 Act. On its most recent Effective Date, the Registration Statement did, and when the Prospectus is first filed in accordance with Rule 497 under the 1933 Act, as of the Securities which differs from the Prospectus date that it is filed with the Commission pursuant Commission, the date of the Prospectus Supplements, as of each Time of Sale, at each Settlement Date, and at all times during which a prospectus is required by the 1933 Act to Rule 424(bbe delivered in connection with any sale of Shares, the Prospectus (and any supplements thereto) will, comply in all material respects with the applicable requirements of the 1933 Act Regulationsand the 1940 Act; on its most recent Effective Date, in which case at the time it is first provided to the Underwriters for such use) Execution Time and, as amended or supplemented, as of each Time of Sale, at each Settlement Date and at Closing Timeall times during which a prospectus is required by the 1933 Act to be delivered in connection with any sale of Shares, does the Registration Statement did not and will not include an contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary in order to make the statements therein not misleading; and at no time during the period that begins on the date of the Prospectus Supplement and ends at the later of each Settlement Date and the end of the period during which a prospectus is required by the 1933 Act to be delivered in connection with any sale of Shares did or will the Prospectus, as then amended or supplemented, include any untrue statement of a material fact or omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the Company makes no representations and or warranties in this subsection (iv) shall not apply as to statements the information contained in or omissions omitted from the Registration Statement Statement, or the Prospectus made (or any supplement thereto), in reliance upon and in conformity with information furnished in writing to the Company in writing by any Underwriter through or on behalf of the Representatives expressly Manager specifically for use inclusion in the Registration Statement or the Prospectus (or any supplement thereto), it being understood and agreed that the only such information contained in any Statement furnished by the Manager consists of Eligibility and Qualification of a trustee the last paragraph under the 1939 Act filed as an exhibit to heading “Plan of Distribution” in the Registration Statement (a “Form T-1”)Prospectus. For purposes The Commission has not issued any order preventing or suspending the use of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”)Prospectus.

Appears in 2 contracts

Samples: Equity Distribution Agreement (Capital Southwest Corp), Equity Distribution Agreement (Capital Southwest Corp)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of the 1933 Act Regulations that Company has been prepared and filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2a registration statement (File No. 333-[·]) of on Form N-2, including a related basic prospectus, for registration under the 1933 Act Regulations has been received by the Company. Each of the offering and sale of the Shares. Such Registration Statement and the Base ProspectusStatement, at the respective times the Registration Statement and including any post-effective amendments thereto became effective filed prior to the date and time that this Agreement is executed and delivered by the parties hereto (the “Execution Time”), has become effective. The Company may have filed, as part of an amendment to the Registration Statement or pursuant to Rule 497 under the 1933 Act, one or more amendments thereto, each of which has previously been furnished to you. The Company will file with the Commission one or more prospectus supplements (collectively, the “Prospectus Supplement”) related to the Shares in accordance with Rule 497 under the 1933 Act. As filed, such Prospectus Supplement, together with the Basic Prospectus, shall contain all information required by the 1933 Act and the 1940 Act and, except to the extent the Manager shall agree in writing to a modification, shall be in all substantive respects in the form furnished to you prior to the Execution Time or prior to any such time this representation is repeated or deemed to be made. The Registration Statement, at the Execution Time, as of the Representation time of each sale of Shares pursuant to this Agreement (each, a “Time of Sale”), at each Settlement Date (as defined in Section 4(a)(vi) hereof), and at all times during which a prospectus is required by the 1933 Act to be delivered in connection with any sale of Shares, meets or will meet the requirements set forth in Rule 415(a)(1)(x) under the 1933 Act. On the Effective Date, complied the Registration Statement did, and when the Prospectus is first filed in accordance with Rule 497 under the 1933 Act, as of the date that it is filed with the Commission, the date of the Prospectus Supplement, as of each Time of Sale, at each Settlement Date, and at all times during which a prospectus is required by the 1933 Act to be delivered in connection with any sale of Shares, the Prospectus (and any supplements thereto) will, comply in all material respects with the applicable requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) 1940 Act; on the Effective Date, at the Execution Time and, as amended or supplemented, as of each Time of Sale, at each Settlement Date and at all times during which a prospectus is required by the 1933 Act Regulations)to be delivered in connection with any sale of Shares, and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and Registration Statement did not and as of the Representation Date and at Closing Time do will not contain an any untrue statement of a material fact or omit to state a any material fact required to be stated therein or necessary in order to make the statements therein not misleading. No order suspending ; and at no time during the effectiveness period that begins on the date of the Registration Statement has been issued under Prospectus Supplement and ends at the later of each Settlement Date and the end of the period during which a prospectus is required by the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use be delivered in connection with any sale of Shares did or will the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act RegulationsProspectus, in which case at the time it is first provided to the Underwriters for such use) and at Closing Timeas then amended or supplemented, does not and will not include an any untrue statement of a material fact or omit to state a any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the Company makes no representations and or warranties in this subsection (iv) shall not apply as to statements the information contained in or omissions omitted from the Registration Statement Statement, or the Prospectus made (or any supplement thereto), in reliance upon and in conformity with information furnished in writing to the Company in writing by any Underwriter through or on behalf of the Representatives expressly Manager specifically for use inclusion in the Registration Statement or the Prospectus (or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(asupplement thereto), all references to it being understood and agreed that the Registration Statement, only such information furnished by the Manager consists of [·]. The Commission has not issued any post-effective amendments thereto and order preventing or suspending the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with use of the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”)Prospectus.

Appears in 1 contract

Samples: Terms Agreement (Ares Capital Corp)

Compliance with Registration Requirements. The Registration Statement is Company has filed with the Securities and Exchange Commission (the “Commission”) an automatic shelf registration statement” as defined under Rule 405 of statement on Form S-3 (having the 1933 Act Regulations that has been filed number(s) set forth on Schedule B hereto), which became effective upon filing with the Commission not earlier than three years prior (including information (if any) deemed to the date hereof; and no notice of objection be part of the Commission to registration statement at the use time of such Registration Statement or any post-effective amendment thereto effectiveness pursuant to Rule 401(g)(2) of 430A under the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Securities Act of 19391933, as amended (the “1939 1933 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of for the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued registration under the 1933 Act of the Securities; and no proceedings stop order suspending its effectiveness has been issued and no proceeding for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have has been instituted or are pending initiated or, to the best knowledge of the Company, are contemplated threatened by the Commission. Such registration statement meets the requirements set forth in Rule 415(a)(1)(x) under the 1933 Act and complies in all other material respects with said Rule, and any request as amended at the date of this Agreement, including the exhibits thereto, and the information deemed a part thereof pursuant to Rule 430B(f)(1) under the 1933 Act on the part date of such registration statement’s effectiveness for purposes of Section 11 of the Commission 1933 Act, as such section applies to the Company and the Underwriters for additional information has been complied withthe Securities pursuant to Rule 430B(f)(2) under the 1933 Act (the “Effective Date”), is hereinafter called the “Registration Statement”. The form of prospectus included in such Registration Statement is hereinafter called the “Basic Prospectus”, and the Basic Prospectus, at as supplemented by the Representation Date (unless the term “Prospectus” refers to a preliminary prospectus which has been provided supplement dated May 8, 2007 relating to the Underwriters by Securities, in the Company for use in connection with the offering of the Securities which differs from the Prospectus form filed with the Commission pursuant to Rule 424(b) of under the 1933 Act Regulations(the “Preliminary Prospectus Supplement”), is hereinafter referred to as the “Preliminary Prospectus”. The Basic Prospectus, as amended or supplemented in final form, including by a prospectus supplement relating to the Securities in the form in which case at the time it is first provided filed with the Commission pursuant to Rule 424(b) under the 1933 Act (the “Prospectus Supplement”), is hereinafter referred to as the “Prospectus”. The Company will file with the Commission the Prospectus Supplement in accordance with Rule 424(b). As filed, the Prospectus Supplement, together with the Basic Prospectus, shall contain all information required by the 1933 Act and the rules thereunder, and, except to the Underwriters for such use) and at Closing Timeextent the Representatives shall agree in writing to a modification, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary the Prospectus Supplement shall be in order to make the statements therein, all substantive respects in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information form furnished to the Company in writing by any Underwriter through Representatives prior to the Representatives expressly for use Execution Time (as defined below) or, to the extent not completed at the Execution Time, shall contain only such specific additional information and other changes (beyond that contained in the Registration Statement or Basic Prospectus and any Preliminary Prospectus) as the Prospectus or Company has advised the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit Representatives, prior to the Registration Statement (a “Form T-1”)Execution Time, will be included or made therein. For purposes of this Section 1(a), all references Any reference herein to the Registration Statement, the Basic Prospectus, any post-effective amendments thereto and Preliminary Prospectus or the Prospectus shall be deemed to includerefer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 which were filed under the Securities Exchange Act of 1934, without limitationas amended (the “1934 Act”), on or before the date of this Agreement, or the issue date of the Basic Prospectus, any electronically transmitted copies thereof filed Preliminary Prospectus or the Prospectus, as the case may be; and any reference herein to the terms “amend,” “amendment” or “supplement” with respect to the Commission pursuant Registration Statement, the Basic Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to its Electronic Data Gatheringrefer to and include the filing of any document under the 1934 Act after the date of this Agreement, Analysisor the issue date of the Basic Prospectus, and Retrieval system any Preliminary Prospectus or its Interactive Data Electronic Applications system (collectivelythe Prospectus, “XXXXX”)as the case may be, deemed to be incorporated therein by reference.

Appears in 1 contract

Samples: Underwriting Agreement (Wisconsin Energy Corp)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of Company meets the 1933 Act Regulations that has been filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the requirements for use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of Form S-3 under the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Securities Act of 19391933, as amended (the “1939 1933 Act”), . The Company has filed with the Securities and the rules and regulations of the Exchange Commission under the 1939 Act (the “1939 Act RegulationsCommission) a registration statement on such Form (File No. 333-172511), and did not and as which has become effective (including information (if any) deemed to be part of the Representation Date and registration statement at Closing Time do not contain an untrue statement the time of a material fact or omit effectiveness pursuant to state a material fact required to be stated therein or necessary to make Rule 430A under the statements therein not misleading. No order suspending 1933 Act), for the effectiveness of the Registration Statement has been issued registration under the 1933 Act of the Securities; and no proceedings stop order suspending its effectiveness has been issued and no proceeding for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have has been instituted or are pending initiated or, to the best knowledge of the Company, are contemplated threatened by the Commission. Such registration statement meets the requirements set forth in Rule 415(a)(1)(x) under the 1933 Act and complies in all other material respects with said Rule, and any request as amended at the date of this Agreement, including the exhibits thereto, and the information deemed a part thereof pursuant to Rule 430B(f)(1) under the 1933 Act on the part date of such registration statement’s effectiveness for purposes of Section 11 of the Commission 1933 Act, as such section applies to the Company and the Underwriters for additional information has been complied with. the Securities pursuant to Rule 430B(f)(2) under the 1933 Act (the “Effective Date”), is hereinafter called the “Registration Statement.” The form of prospectus included in such Registration Statement is hereinafter called the “Basic Prospectus,” and the Basic Prospectus, at as supplemented by the Representation Date (unless the term “Prospectus” refers to a preliminary prospectus which has been provided supplement dated June 10, 2013 relating to the Underwriters by Securities, in the Company for use in connection with the offering of the Securities which differs from the Prospectus form filed with the Commission pursuant to Rule 424(b) of under the 1933 Act Regulations(the “Preliminary Prospectus Supplement”), is hereinafter referred to as the “Preliminary Prospectus.” The Basic Prospectus, as amended or supplemented in final form, including by a prospectus supplement relating to the Securities in the form in which case at the time it is first provided filed with the Commission pursuant to Rule 424(b) under the 1933 Act (the “Prospectus Supplement”), is hereinafter referred to as the “Prospectus.” The Company will file with the Commission the Prospectus Supplement in accordance with Rule 424(b). As filed, the Prospectus Supplement, together with the Basic Prospectus, shall contain all information required by the 1933 Act and the rules thereunder, and, except to the Underwriters for such use) and at Closing Timeextent the Representatives shall agree in writing to a modification, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary the Prospectus Supplement shall be in order to make the statements therein, all substantive respects in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information form furnished to the Company in writing by any Underwriter through Representatives prior to the Representatives expressly for use Execution Time (as defined below) or, to the extent not completed at the Execution Time, shall contain only such specific additional information and other changes (beyond that contained in the Registration Statement or Basic Prospectus and any Preliminary Prospectus) as the Prospectus or Company has advised the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit Representatives, prior to the Registration Statement (a “Form T-1”)Execution Time, will be included or made therein. For purposes of this Section 1(a), all references Any reference herein to the Registration Statement, the Basic Prospectus, any post-effective amendments thereto and Preliminary Prospectus or the Prospectus shall be deemed to includerefer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 which were filed under the Securities Exchange Act of 1934, without limitationas amended (the “1934 Act”), on or before the date of this Agreement, or the issue date of the Basic Prospectus, any electronically transmitted copies thereof filed Preliminary Prospectus or the Prospectus, as the case may be; and any reference herein to the terms “amend,” “amendment” or “supplement” with respect to the Commission pursuant Registration Statement, the Basic Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to its Electronic Data Gatheringrefer to and include the filing of any document under the 1934 Act after the date of this Agreement, Analysisor the issue date of the Basic Prospectus, and Retrieval system any Preliminary Prospectus or its Interactive Data Electronic Applications system (collectivelythe Prospectus, “XXXXX”)as the case may be, deemed to be incorporated therein by reference.

Appears in 1 contract

Samples: Underwriting Agreement (Wisconsin Electric Power Co)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of the 1933 Act Regulations that Company shall file or has been filed with the Securities and Exchange Commission not earlier than three years prior to (the date hereof; and no notice of objection of “Commission”) a registration statement under the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Securities Act of 19391933, as amended (the “1939 1933 Act”), on Form S-3 in respect of the Company’s Common Stock (including the Shares) (collectively, the “Securities”); prior to the sale of Shares such registration statement, and any post-effective amendment thereto, shall have become effective; and no stop order suspending the effectiveness of such registration statement or any part thereof shall have been issued and no proceeding for that purpose shall have been initiated or, to the knowledge of the Company, threatened by the Commission (the prospectus specifically relating to the Shares filed or to be as part of such registration statement, in the form in which it has most recently been filed with the Commission, is hereinafter called the “ATM Prospectus”; the various parts of such registration statement, including all exhibits thereto and any prospectus supplement relating to the Shares that is filed with the Commission and deemed by virtue of Rule 430B to be part of such registration statement, each as amended at the time such part of the registration statement became effective, including any post-effective amendments thereto, are hereinafter collectively called the “Registration Statement”; the ATM Prospectus, together with any prospectus supplement specifically relating to the Shares prepared and filed with the Commission pursuant to Rule 424(b) under the 1933 Act, is hereinafter called the “Prospectus”; any reference herein to the ATM Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under the 1933 Act; any reference to any amendment or supplement to the ATM Prospectus or the Prospectus shall be deemed to refer to and include any post-effective amendment to the Registration Statement, any prospectus supplement relating to the Shares filed with the Commission pursuant to Rule 424(b) under the 1933 Act and any documents filed under the Securities Exchange Act of 1934, as amended (the “1934 Act”), and the rules and regulations of the Commission under the 1939 Act thereunder (the “1939 1934 Act Regulations”), and did not and as incorporated therein, in each case after the date of the Representation Date ATM Prospectus or the Prospectus, as the case may be; any reference to any amendment to the Registration Statement shall be deemed to refer to and include any annual report of the Company filed pursuant to Section 13(a) or 15(d) of the 1934 Act after the effective date of the Registration Statement that is incorporated by reference in the Registration Statement; and any “issuer free writing prospectus” as defined in Rule 433 under the 1933 Act relating to the Shares is hereinafter called an “Issuer Free Writing Prospectus”. No order preventing or suspending the use of the ATM Prospectus, the Prospectus or any Issuer Free Writing Prospectus has been issued by the Commission, and the ATM Prospectus and the Prospectus, at Closing Time do the time of filing thereof, conformed in all material respects to the requirements of the 1933 Act and the rules and regulations of the Commission thereunder (the “1933 Act Regulations”) and did not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 1 contract

Samples: Terms Agreement (Angion Biomedica Corp.)

Compliance with Registration Requirements. The Registration Statement is an Company has filed with the Securities and Exchange Commission (the automatic shelf Commission”) a registration statement on Form S-11 (File No. 333-173238), including a related preliminary prospectus, for the registration of the Securities under the Securities Act of 1933, as amended (the “1933 Act”); the Company satisfies all eligibility requirements for use of Form S-11 as contemplated by such registration statement and this Agreement; such registration statement, as amended on or prior to the Applicable Time (as defined below), has been declared effective by the Commission under Rule 405 of the 1933 Act Regulations that and the rules and regulations of the Commission under the 1933 Act (the “1933 Act Regulations”); the Company has complied to the Commission’s satisfaction with all requests of the Commission for additional or supplemental information with respect to such registration statement or otherwise; no stop order suspending the effectiveness of such registration statement or any part thereof has been filed with the Commission not earlier than three years prior issued and no proceeding for that purpose has been initiated or, to the date hereof; knowledge of the Company, threatened by the Commission, and no notice of objection of the Commission to the use of such Registration Statement form of registration statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each ; the various parts of the Registration Statement and the Base Prospectussuch registration statement, at the respective times the Registration Statement including all exhibits thereto and any post-effective amendments thereto became effective and as of prospectus relating to the Representation Date, complied and comply in all material respects Securities that is filed with the requirements Commission and deemed by virtue of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued 430A under the 1933 Act to be part of such registration statement (any such information that was omitted from such registration statement at the time it became effective but that is deemed to be a part of and no proceedings for that purpose or included in such registration statement pursuant to Section 8A of Rule 430A under the 1933 Act against the Company or related is referred to the offering of the Securities have been instituted or are pending oras “430A Information”), to the knowledge of the Company, are contemplated by the Commission, and any request on the each as amended at each time such part of the Commission for additional information has been complied with. The Prospectusregistration statement became effective, at are hereinafter collectively called the Representation Date (unless the term Prospectus” refers to a Registration Statement”; each preliminary prospectus which has been provided to the Underwriters by the Company for use used in connection with the offering of the Securities which differs from that omitted Rule 430A Information is herein called, a “Preliminary Prospectus”; the Prospectus final prospectus, and any amendments or supplements thereto, relating to the Securities prepared and filed with the Commission pursuant to Rule 424(b) of under the 1933 Act Regulations, in which case at is hereinafter called the time it is first provided “Prospectus”; any reference to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact any amendment or omit supplement to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Preliminary Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, refer to and include any electronically transmitted copies thereof post-effective amendment to the Registration Statement; any registration statement filed with the Commission pursuant to its Electronic Data Gathering, Analysis, Rule 462(b) of the 1933 Act Regulations is herein referred to as the “Rule 462(b) Registration Statement,” and Retrieval system or its Interactive Data Electronic Applications system (collectively, after such filing the term XXXXX”)Registration Statement” shall include the rule 462(b) Registration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (American Capital Mortgage Investment Corp.)

Compliance with Registration Requirements. The Each of the Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 and any post-effective amendment thereto have been prepared by the Company in conformity with the requirements of the 1933 Act Regulations that Act. The Company meets all conditions and requirements for the use of Form S-3 to register the offer and sale of the Shares in accordance with General Instruction I.B.6 of Form S-3. No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment thereto has been filed with issued under the Commission not earlier than three years prior to the date hereof; and 1933 Act, no notice of or objection of the Commission to the use of such the Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of under the 1933 Act Regulations has been received by the Company. Each , no order preventing or suspending the use of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement Prospectus has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A any of the 1933 Act against the Company or related to the offering of the Securities those purposes have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commissioncontemplated. The Company has complied with each request, and any request on the part of if any, from the Commission for additional information has been complied withinformation. The ProspectusEach of the Registration Statement and any post-effective amendment thereto, at the Representation Date time it became effective, at each Applicable Time and each Delivery Date, complied and will comply in all material respects with the requirements of the 1933 Act. The Prospectus and each amendment or supplement thereto, as of their respective issue dates, complied and will comply, in all material respects with the 1933 Act and the 1933 Act Regulations at each Applicable Time and each Delivery Date. The copies of the Registration Statement and any Rule 462(b) Registration Statement (unless as defined in Section 2(d) below) and any amendments thereto, each Issuer Free Writing Prospectus that is required to be filed with the term “Prospectus” refers Commission pursuant to a prospectus which has been provided Rule 433 and the Prospectus and any amendments or supplements thereto delivered to the Underwriters by the Company Agent for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided Shares were or will be substantially identical to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data GatheringXXXXX, Analysisexcept to the extent permitted by Regulation S-T. The documents incorporated or deemed to be incorporated by reference in the Registration Statement and the Prospectus, when they became effective or at the time they were or hereafter are filed with the Commission, complied and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”)will comply in all material respects with the requirements of the 1934 Act and the 1934 Act Regulations.

Appears in 1 contract

Samples: Sales Agency Agreement (Sotherly Hotels Lp)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of the 1933 Act Regulations that Company has been prepared and filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement or any post(file number 333-effective amendment thereto pursuant to Rule 401(g)(2204933) of on Form N-2, including a related Preliminary Prospectus for registration under the 1933 Act Regulations has been received by the Company. Each of the Registration Statement offering and sale of the Base Prospectus, at the respective times the Registration Statement and any postSecurities. The Company has filed one or more pre-effective amendments thereto became effective and as of the Representation Datethereto, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (each including Rule 415(a) of the 1933 Act Regulations)a related Preliminary Prospectus, and each of which has previously been furnished to the Representatives. The Indenture has been qualified under the Trust Indenture Act of 1939, as amended (the “1939 Act”), . The Company will next file with the Commission the Prospectus in accordance with Rules 430C and the rules and regulations 497 of the Commission under 1933 Act. The Company has included in such Registration Statement, as amended at the 1939 Act Effective Date, all information (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact other than Rule 430C Information) required to be stated therein included by the 1933 Act. As filed, the Prospectus shall contain all Rule 430C Information, together with all other required information, and shall be in all substantive respects in the form furnished to you prior to the Execution Time or, to the extent not completed at the Execution Time, shall contain only such specific additional information and other changes (beyond that contained in the latest Preliminary Prospectus) as the Company has advised you, prior to the Execution Time, will be included or necessary made therein. The offer and sale of the Securities has been registered under the 1933 Act pursuant to make the statements therein Registration Statement. The Registration Statement and any post-effective amendments thereto have been declared effective under the 1933 Act and any Rule 462(b) Registration Statement has become effective under the 1933 Act or, not misleading. No later than 5:00 P.M. (New York City time) on the business day immediately after the Execution Date, will become effective under the 1933 Act, and no stop order suspending the effectiveness of the Registration Statement or any Rule 462(b) Registration Statement or preventing or suspending the use of any Preliminary Prospectus or the Prospectus has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The ProspectusFrom the time of initial filing of the Registration Statement to the Commission through the date hereof, at the Representation Date (unless the term “Prospectus” refers to a prospectus which Company has been provided to the Underwriters by the Company for use and is an “emerging growth company,” as defined in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(bSection 2(a)(xix) of the 1933 Act (an “EGC”). At the respective times that the 1940 Act Notification was filed with the Commission, and the times that the Registration Statement, any Rule 462(b) Registration Statement and any amendments to any of the foregoing were declared or became effective, as the case may be, and at the Closing Date (and, if any Option Securities are purchased, at the applicable Option Closing Date), the 1940 Act Notification, the Registration Statement, any Rule 462(b) Registration Statement and any amendments to any of the foregoing complied and will comply in all material respects with the applicable requirements of the 1933 Act, the 1933 Act Regulations, in which case at the time it is first provided to 1940 Act and the Underwriters for such use) 1940 Act Regulations and at Closing Time, does did not and will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein not misleading. At the respective times the Prospectus or any amendment or supplement thereto was filed pursuant to Rule 497 or issued, at the Closing Date (and, if any Option Securities are purchased, at the applicable Option Closing Date), and at any time when a prospectus is required (or, but for the provisions of Rule 172, would be required) by applicable law to be delivered in connection with sales of Securities (whether to meet the requests of purchasers pursuant to Rule 173(d) or otherwise), neither the Prospectus nor any amendments or supplements thereto included or will include an untrue statement of a material fact or omitted or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. As of the Applicable Time (except in the case of clause (z) below) and as of each time prior to the Closing Date that an investor agrees (orally or in writing) to purchase or, if applicable, reconfirms (orally or in writing) an agreement to purchase any Securities from the Underwriters, neither (x) the Pre-Pricing Prospectus as of the Applicable Time and the information, if any, included on Exhibit G hereto, all considered together (collectively, the “General Disclosure Package”), nor (y) any Sales Material considered together with the Pre-Pricing Prospectus as of the Applicable Time, nor (z) any Rule 482 Material, when considered together with the General Disclosure Package, included or will include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided. Any Rule 482 Material, howeverwhen used, that complied with the requirements pertaining thereto as set forth in Rule 482 under the 1933 Act. Each Preliminary Prospectus and the Prospectus and any amendments or supplements to any of the foregoing filed as part of the Registration Statement or any amendment thereto, or filed pursuant to Rule 497 under the 1933 Act, or delivered to the Underwriters for use in connection with the offering of the Securities, complied when so filed or when so delivered, as the case may be, in all material respects with the 1933 Act, the 1933 Act Regulations, the 1940 Act and the 1940 Act Regulations. The representations and warranties in the preceding paragraphs of this subsection (ivSection 1(a)(i) shall do not apply to statements in or omissions from the Registration Statement Statement, any Preliminary Prospectus, the Prospectus or Prospectus any Rule 482 Material or any amendment or supplement to any the foregoing made in reliance upon and in conformity with written information furnished to the Company in writing by or on behalf of any Underwriter through the Representatives expressly for use in the Registration Statement, including the part of the Registration Statement or that constitutes the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed (Form T-1) of the Trustee under the Indenture, it being understood and agreed that the only such information furnished by or on behalf of the Underwriters as an exhibit to aforesaid consists of the information described as such in Section 6(c) hereof. The copies of the Registration Statement (a “Form T-1”). For purposes and any Rule 462(b) Registration Statement and any amendments to any of this Section 1(a), all references the foregoing and the copies of each Preliminary Prospectus and Rule 482 Material that is required to be filed with the Registration Statement, any post-effective amendments thereto Commission pursuant to Rule 482 and the Prospectus shall and any amendments or supplements to any of the foregoing, that have been or subsequently are delivered to the Underwriters in connection with the offering of the Securities (whether to meet the request of purchasers pursuant to Rule 173(d) or otherwise) were and will be deemed identical to include, without limitation, any the electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data GatheringXXXXX, Analysisexcept to the extent permitted by Regulation S-T. For purposes of this Agreement, references to the “delivery” or “furnishing” of any of the foregoing documents to the Underwriters, and Retrieval system any similar terms, include, without limitation, electronic delivery. Any Rule 482 Material (if any), as of its issue date and at all subsequent times through the completion of the public offering and sale of the Securities, did not, does not and will not include any information that conflicted, conflicts or its Interactive Data Electronic Applications system (collectivelywill conflict with the information contained in the Registration Statement, “XXXXX”)any Preliminary Prospectus or the Prospectus that has not been superseded or modified.

Appears in 1 contract

Samples: Underwriting Agreement (TriplePoint Venture Growth BDC Corp.)

Compliance with Registration Requirements. The Registration Statement is Company has filed with the Securities and Exchange Commission (the “Commission”) an “automatic shelf registration statement” as defined under Rule 405 under the Securities Act of 1933, as amended (the “1933 Act”), on Form S-3 (File No. 333-157561), in respect of the 1933 Act Regulations that has been filed with Company’s Common Stock (including the Commission Shares) not earlier than three years prior to the date hereof; such registration statement, and any post-effective amendment thereto, became effective on filing; and no stop order suspending the effectiveness of such registration statement or any part thereof has been issued and no proceeding for that purpose has been initiated or, to the knowledge of the Company, threatened by the Commission, and no notice of objection of the Commission to the use of such Registration Statement form of registration statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of under the 1933 Act Regulations has been received by the CompanyCompany (the base prospectus filed as part of such registration statement, in the form in which it has most recently been filed with the Commission on or prior to the date of this Agreement, is hereinafter called the “Basic Prospectus”; the various parts of such registration statement, including all exhibits thereto and any prospectus supplement relating to the Shares that is filed with the Commission and deemed by virtue of Rule 430B to be part of such registration statement, each as amended at the time such part of the registration statement became effective with respect to the Placement Agents (the “Effective Date”), are hereinafter collectively called the “Registration Statement”; the prospectus supplement specifically relating to the Shares prepared and filed with the Commission pursuant to Rule 424(b) under the 1933 Act is hereinafter called the “Prospectus Supplement”; the Basic Prospectus, as amended and supplemented by the Prospectus Supplement, is hereinafter called the “Prospectus”; any reference herein to the Basic Prospectus, the Prospectus Supplement or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under the 1933 Act; any reference to any amendment or supplement to the Basic Prospectus, the Prospectus Supplement or the Prospectus shall be deemed to refer to and include any post-effective amendment to the Registration Statement, any prospectus supplement relating to the Shares filed with the Commission pursuant to Rule 424(b) under the 1933 Act and any documents filed under the Securities Exchange Act of 1934, as amended (the “1934 Act”), and incorporated therein, in each case after the date of the Basic Prospectus, the Prospectus Supplement or the Prospectus, as the case may be; any reference to any amendment to the Registration Statement shall be deemed to refer to and include any annual report of the Company filed pursuant to Section 13(a) or 15(d) of the 1934 Act after the effective date of the Registration Statement that is incorporated by reference in the Registration Statement; and any “issuer free writing prospectus” as defined in Rule 433 under the 1933 Act relating to the Shares is hereinafter called an “Issuer Free Writing Prospectus”). Each On the Effective Date, the Registration Statement complied, and on the date of the Prospectus, the date any post-effective amendment to the Registration Statement becomes effective, the date any supplement or amendment to the Prospectus is filed with the Commission and the Closing Date, the Registration Statement and the Base Prospectus (and any amendment thereof or supplement thereto) will comply, in all material respects, with the requirements of the Securities Act and the published rules and regulations thereunder (the “Rules”) adopted by the Commission and the Exchange Act and the rules and regulations of the Commission thereunder. The Registration Statement did not, as of the Effective Date, contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary in order to make the statements therein not misleading; and on the Effective Date and the other dates referred to in the second sentence of this paragraph 2(a) above, neither the Registration Statement nor any amendment thereof or supplement thereto, contained or will contain any untrue statement of a material fact or will omit to state any material fact required to be stated therein or necessary in order to make the statements therein not misleading. No order preventing or suspending the use of the Basic Prospectus, the Prospectus Supplement, the Prospectus or any Issuer Free Writing Prospectus has been issued by the Commission, and the Basic Prospectus and the Prospectus Supplement, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as time of the Representation Datefiling thereof, complied and comply conformed in all material respects with to the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), Rules and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein therein, in the light of the circumstances under which they were made, not misleading. No order suspending For the effectiveness purposes of this Agreement, the Registration Statement has been issued under “Applicable Time” means, with respect to any Shares, the 1933 Act and no proceedings for that purpose or time of sale of such Shares pursuant to Section 8A this Agreement. The Basic Prospectus and the applicable Issuer Free Writing Prospectus(es) issued at or prior to such Applicable Time, taken together (collectively, and, with respect to any Shares, together with the public offering price of such Shares and the 1933 Act against aggregate number of Shares up to which the Company or related to will offer, the offering “General Disclosure Package”) as of each Applicable Time and the Securities have been instituted or are pending orClosing Date, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does did not and will not include an any untrue statement of a material fact or omit to state a any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall each applicable Issuer Free Writing Prospectus will not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity conflict with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to includeSupplement or the Prospectus and each such Issuer Free Writing Prospectus, without limitation, any electronically transmitted copies thereof filed as supplemented by and taken together with the Commission pursuant General Disclosure Package as of such Applicable Time, will not include any untrue statement of a material fact or omit to its Electronic Data Gatheringstate any material fact necessary in order to make the statements therein, Analysisin the light of the circumstances under which they were made, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”)not misleading.

Appears in 1 contract

Samples: Placement Agency Agreement (Valley National Bancorp)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of the 1933 Act Regulations that Company has been filed with the Securities and Exchange Commission not earlier than (the “Commission”) a registration statement under the Securities Act of 1933, as amended (the “1933 Act”), on Form S-3 (File No. 333-229209), in respect of the Company’s Common Stock (including the Shares) (collectively, the “Securities”) has become effective within three years prior to the date hereof; such registration statement, and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto has become effective; and no stop order suspending the effectiveness of such registration statement or any part thereof is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission (the base prospectus filed as part of such registration statement, in the form in which it has most recently been filed with the Commission on or prior to the date of this Agreement, is hereinafter called the “Base Prospectus”; the various parts of such registration statement, including all exhibits thereto and any prospectus supplement relating to the Shares that is filed with the Commission and deemed by virtue of Rule 430B to be part of such registration statement, each as amended at the time such part of the registration statement became effective, are hereinafter collectively called the “Registration Statement”; the prospectus supplement specifically relating to the Shares prepared and filed with the Commission pursuant to Rule 401(g)(2424(b) of under the 1933 Act Regulations has been received by is hereinafter called the Company. Each of the Registration Statement and “Prospectus Supplement”; the Base Prospectus, at as amended and supplemented by the respective times Prospectus Supplement, is hereinafter called the Registration Statement “Prospectus”; any reference herein to the Base Prospectus, the Prospectus Supplement or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under the 1933 Act; any reference to any amendment or supplement to the Base Prospectus, the Prospectus Supplement or the Prospectus shall be deemed to refer to and include any post-effective amendments thereto became effective and as of amendment to the Representation DateRegistration Statement, complied and comply in all material respects any prospectus supplement relating to the Shares filed with the requirements of Commission pursuant to Rule 424(b) under the 1933 Act and any documents filed under the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Securities Exchange Act of 19391934, as amended (the “1939 1934 Act”), and the rules and regulations of the Commission under the 1939 Act thereunder (the “1939 1934 Act Regulations”), and did not and as incorporated therein, in each case after the date of the Representation Date Base Prospectus, the Prospectus Supplement or the Prospectus, as the case may be; any reference to any amendment to the Registration Statement shall be deemed to refer to and include any annual report of the Company filed pursuant to Section 13(a) or 15(d) of the 1934 Act after the effective date of the Registration Statement that is incorporated by reference in the Registration Statement; and any “issuer free writing prospectus” as defined in Rule 433 under the 1933 Act relating to the Shares is hereinafter called an “Issuer Free Writing Prospectus”). The sale of the Shares hereunder meets the requirements of General Instruction I.B.1 of Form S-3. No order preventing or suspending the use of the Base Prospectus, the Prospectus Supplement, the Prospectus or any Issuer Free Writing Prospectus is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company are contemplated or threatened by the Commission, and the Base Prospectus and the Prospectus Supplement, at Closing Time do the time of filing thereof, conformed in all material respects to the requirements of the 1933 Act and the rules and regulations of the Commission thereunder (the “1933 Act Regulations”) and did not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 1 contract

Samples: Terms Agreement (Gladstone Commercial Corp)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of Company meets the 1933 Act Regulations that has been filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the requirements for use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of Form S-3 under the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Securities Act of 19391933, as amended (the “1939 1933 Act”), . The Company has filed with the Securities and the rules and regulations of the Exchange Commission under the 1939 Act (the “1939 Act RegulationsCommission) a registration statement on such Form (File No. 333-192041), and did not and as which has become effective (including information (if any) deemed to be part of the Representation Date and registration statement at Closing Time do not contain an untrue statement the time of a material fact or omit effectiveness pursuant to state a material fact required to be stated therein or necessary to make Rule 430A under the statements therein not misleading. No order suspending 1933 Act), for the effectiveness of the Registration Statement has been issued registration under the 1933 Act of the Securities; and no proceedings stop order suspending its effectiveness has been issued and no proceeding for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have has been instituted or are pending initiated or, to the best knowledge of the Company, are contemplated threatened by the Commission. Such registration statement meets the requirements set forth in Rule 415(a)(1)(x) under the 1933 Act and complies in all other material respects with said Rule, and any request as amended at the date of this Agreement, including the exhibits thereto, and the information deemed a part thereof pursuant to Rule 430B(f)(1) under the 1933 Act on the part date of such registration statement’s effectiveness for purposes of Section 11 of the Commission 1933 Act, as such section applies to the Company and the Underwriters for additional information has been complied with. the Securities pursuant to Rule 430B(f)(2) under the 1933 Act (the “Effective Date”), is hereinafter called the “Registration Statement.” The form of prospectus included in such Registration Statement is hereinafter called the “Basic Prospectus,” and the Basic Prospectus, at as supplemented by the Representation Date (unless the term “Prospectus” refers to a preliminary prospectus which has been provided supplement dated November 13, 2015 relating to the Underwriters by Securities, in the Company for use in connection with the offering of the Securities which differs from the Prospectus form filed with the Commission pursuant to Rule 424(b) of under the 1933 Act Regulations(the “Preliminary Prospectus Supplement”), is hereinafter referred to as the “Preliminary Prospectus.” The Basic Prospectus, as amended or supplemented in final form, including by a prospectus supplement relating to the Securities in the form in which case at the time it is first provided filed with the Commission pursuant to Rule 424(b) under the 1933 Act (the “Prospectus Supplement”), is hereinafter referred to as the “Prospectus.” The Company will file with the Commission the Prospectus Supplement in accordance with Rule 424(b). As filed, the Prospectus Supplement, together with the Basic Prospectus, shall contain all information required by the 1933 Act and the rules thereunder, and, except to the Underwriters for such use) and at Closing Timeextent the Representatives shall agree in writing to a modification, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary the Prospectus Supplement shall be in order to make the statements therein, all substantive respects in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information form furnished to the Company in writing by any Underwriter through Representatives prior to the Representatives expressly for use Applicable Time (as defined below) or, to the extent not completed at the Applicable Time, shall contain only such specific additional information and other changes (beyond that contained in the Registration Statement or Basic Prospectus and any Preliminary Prospectus) as the Prospectus or Company has advised the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit Representatives, prior to the Registration Statement (a “Form T-1”)Applicable Time, will be included or made therein. For purposes of this Section 1(a), all references Any reference herein to the Registration Statement, the Basic Prospectus, any post-effective amendments thereto and Preliminary Prospectus or the Prospectus shall be deemed to includerefer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 which were filed under the Securities Exchange Act of 1934, without limitationas amended (the “1934 Act”), on or before the date of this Agreement, or the issue date of the Basic Prospectus, any electronically transmitted copies thereof filed Preliminary Prospectus or the Prospectus, as the case may be; and any reference herein to the terms “amend,” “amendment” or “supplement” with respect to the Commission pursuant Registration Statement, the Basic Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to its Electronic Data Gatheringrefer to and include the filing of any document under the 1934 Act after the date of this Agreement, Analysisor the issue date of the Basic Prospectus, and Retrieval system any Preliminary Prospectus or its Interactive Data Electronic Applications system (collectivelythe Prospectus, “XXXXX”)as the case may be, deemed to be incorporated therein by reference.

Appears in 1 contract

Samples: Underwriting Agreement (Wisconsin Electric Power Co)

Compliance with Registration Requirements. The Company meets the requirements for use of Form S-3 under the 1933 Act. The Registration Statement is an “automatic shelf registration statement” as defined became effective upon filing with the Commission under Rule 405 462(e) of the 1933 Act Regulations that has been filed with the Commission not earlier than three years prior to the date hereof; (“Rule 462(e)”) on November 20, 2020 and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto also became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including upon filing under Rule 415(a) of the 1933 Act Regulations462(e), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No stop order suspending the effectiveness of the Registration Statement or preventing or suspending the use of any prospectus has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at and no notice of objection of the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided Commission to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission Registration Statement or any post-effective amendment thereto pursuant to Rule 424(b401(g)(2) of the 1933 Act Regulations has been received by the Company. In addition, the Indenture has been duly qualified under the Trust Indenture Act of 1939, as amended (the “1939 Act”). At the respective times the Registration Statement and any post-effective amendments thereto became effective and as of each Representation Date, the Registration Statement and any amendments thereto complied, complies and will comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations and the 1939 Act and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), in which case at the time it is first provided to the Underwriters for such use) and at Closing Timedid not, does not and will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading; provided, that the Company makes no representation or warranty with respect to the Underwriter Information (as defined below). The Prospectus and each amendment or supplement thereto, if any, at the time the Prospectus or any such amendment or supplement is issued and at the Closing Time, complied, complies and will comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations, and neither the Prospectus nor any amendment or supplement thereto included, includes or will include an untrue statement of a material fact or omitted, omits or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in Company makes no representation or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity warranty with information furnished respect to the Company Underwriter Information. Each preliminary prospectus and any amendment thereto complied when so filed in writing by any Underwriter through all material respects with the Representatives expressly 1933 Act and the 1933 Act Regulations and each preliminary prospectus and the Prospectus delivered or made available to the Underwriters for use in connection with the Registration Statement or offering of the Prospectus or Securities was and will be, at the information contained in any Statement time of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit such delivery, identical to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data GatheringXXXXX, Analysisexcept to the extent permitted by Regulation S-T. As of the Applicable Time, neither (x) the General Disclosure Package (as defined below) nor (y) any individual Issuer Limited Use Free Writing Prospectus (as defined below), when considered together with the General Disclosure Package, included any untrue statement of a material fact or omitted to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided that the Company makes no representation or warranty with respect to the Underwriter Information. As used in this subsection and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).elsewhere in this Agreement:

Appears in 1 contract

Samples: Public Service Enterprise Group Inc

Compliance with Registration Requirements. The (A) At the time of filing the Registration Statement is an “automatic shelf registration statement” as defined under Statement, any Rule 405 of the 1933 Act Regulations that has been filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such 462(b) Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2thereto, (B) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times earliest time that the Registration Statement and any post-effective amendments thereto became effective and as Company or another offering participant made a bona fide offer (within the meaning of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a164(h)(2) of the 1933 Act Regulations) of the Shares and (C) at the date hereof, the Company was not nor is it an “ineligible issuer” (as defined in Rule 405). The Company meets the requirements for use of Form S-3 under the 1933 Act. The Registration Statement became effective on March 30, 2018, and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission any post-effective amendment thereto has become effective under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading1933 Act. No stop order suspending the effectiveness of the Registration Statement Statement, including any Rule 462(b) Registration Statement, or any post-effective amendment thereto has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and the Company has complied with any request requests on the part of the Commission for additional information has been complied withwith respect to the Registration Statement. The Prospectus, at Registration Statement meets the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use requirements set forth in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) 415 of the 1933 Act Regulations. At the respective times the Registration Statement, any Rule 462(b) Registration Statement and any post-effective amendments thereto became effective and at the Closing Time (and, if any Option Shares are purchased, at the Date of Delivery), the Registration Statement, any amendments thereto and any Rule 462(b) Registration Statement complied, complies and will comply, as the case may be, in which case at all material respects with the time it is first provided to requirements of the Underwriters for such use) 1933 Act and at Closing Timethe 1933 Act Regulations, does and did not and will not include contain, as the case may be, an untrue statement of a material fact or omit omitted, or will omit, as the case may be, to state a material fact required to be stated therein or necessary to make the statements therein not misleading. Neither the Prospectus nor any amendments or supplements thereto, at the time the Prospectus or any such amendment or supplement was issued and at the Closing Time (and, if any Option Shares are purchased, at each Date of Delivery), included, includes or will include, as the case may be, an untrue statement of a material fact or omitted, omits or will omit, as the case may be, to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided. The Base Prospectus, howevereach preliminary prospectus and the Prospectus complied, that when filed with the Commission, in all material respects with the 1933 Act and 1933 Act Regulations, and the Base Prospectus, each preliminary prospectus and the Prospectus delivered to the Underwriters for use in connection with the offering of the Shares was identical to the electronically transmitted copies thereof filed with the Commission pursuant to XXXXX, except to the extent permitted by Regulation S-T. As of the Applicable Time, each Issuer-Represented Free Writing Prospectus (as defined below) and the Statutory Prospectus (as defined below), all considered together (collectively, the “General Disclosure Package”), did not include an untrue statement of a material fact or omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. The Registration Statement relating to the Shares initially became effective within three years of the date hereof. The representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement Prospectus or Prospectus the General Disclosure Package made in reliance upon and in conformity with written information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”)therein. For purposes of this Section 1(a)paragraph, all references to the Registration Statement, any post-effective amendments thereto only information so furnished shall be the information under the captions “Underwriting—Stabilization” and “Underwriting—Passive Market Making” and in the second and third sentences of the fourth paragraph under the caption “Underwriting—Underwriting Discount and Expenses” contained in the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, the XXXXXUnderwriter Information”).. As used in this subsection and elsewhere in this Agreement:

Appears in 1 contract

Samples: Underwriting Agreement (Triumph Bancorp, Inc.)

Compliance with Registration Requirements. The Company and each Guarantor meets the requirements for use of Form S-3 under the 1933 Act. The Registration Statement is an “automatic shelf registration statement” as defined became effective upon filing with the Commission under Rule 405 462(e) of the 1933 Act Regulations that (“Rule 462(e)”) on November 18, 2014 and any post-effective amendment thereto also became effective upon filing under Rule 462(e). No stop order suspending the effectiveness of the Registration Statement or preventing or suspending the use of any prospectus has been filed with issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or any Guarantor or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company or any Guarantor, are contemplated by the Commission, any request on the part of the Commission not earlier than three years prior to the date hereof; for additional information has been complied with, and no notice of objection of the Commission to the use of such the Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the CompanyCompany or any Guarantor. Each In addition, the Indenture has been duly qualified under the Trust Indenture Act of 1939, as amended (the Registration Statement and the Base Prospectus, at “1939 Act”). At the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the each Representation Date, complied the Registration Statement and any amendments thereto complied, complies and will comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture 1939 Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not, does not and as of the Representation Date and at Closing Time do will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading; provided, that the Company and the Guarantors make no representation or warranty with respect to the Underwriter Information (as defined below). No order suspending The Prospectus and each amendment or supplement thereto, if any, at the effectiveness time the Prospectus or any such amendment or supplement is issued and at the Closing Time, complied, complies and will comply in all material respects with the requirements of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at and neither the time it is first provided to the Underwriters for such use) and at Closing TimeProspectus nor any amendment or supplement thereto included, does not and includes or will not include an untrue statement of a material fact or omitted, omits or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations Company and warranties in this subsection (iv) shall not apply to statements in the Guarantors make no representation or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity warranty with information furnished respect to the Company Underwriter Information. Each preliminary prospectus and any amendment thereto complied when so filed in writing by any Underwriter through all material respects with the Representatives expressly 1933 Act and the 1933 Act Regulations and each preliminary prospectus and the Prospectus delivered or made available to the Underwriters for use in connection with the Registration Statement or offering of the Prospectus or Securities was and will be, at the information contained in any Statement time of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit such delivery, identical to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data GatheringXXXXX, Analysisexcept to the extent permitted by Regulation S-T. As of the Applicable Time, neither (x) the General Disclosure Package (as defined below) nor (y) any individual Issuer Limited Use Free Writing Prospectus (as defined below), when considered together with the General Disclosure Package, included any untrue statement of a material fact or omitted to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided that the Company and Retrieval system the Guarantors make no representation or its Interactive Data Electronic Applications system (collectively, “XXXXX”).warranty with respect to the Underwriter Information. As used in this subsection and elsewhere in this Agreement:

Appears in 1 contract

Samples: Underwriting Agreement (Pseg Power LLC)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined has become effective under Rule 405 of the 1933 Act Regulations that has been filed with and the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement or any Rule 462(d) post-effective amendment thereto pursuant to Rule 401(g)(2) of will become effective upon its filing with the 1933 Act Regulations has been received by Commission. No stop order suspending the Company. Each effectiveness of the Registration Statement has been issued under the 1933 Act, or order of suspension or revocation of registration pursuant to Section 8(e) of the 1940 Act, and no proceedings for any such purpose, have been instituted or are pending or, to the Base Prospectusknowledge of the Fund or the Adviser, at are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. At the respective times the Registration Statement and any the Rule 462(d) post-effective amendments thereto amendment relating to the issuance and sale of the Shares to each Investor (filed before the Closing Time) became effective and as of at the Representation DateClosing Time, the Registration Statement, the Rule 462(d) post-effective amendment, the notification on Form N-8A and all amendments and supplements thereto complied and will comply in all material respects with the requirements of the 1933 Act, the 1940 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Rules and Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending Neither the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose Prospectus nor any amendment or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectussupplement thereto, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from time the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case or any such amendment or supplement was issued and at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and included or will not include an untrue statement of a material fact or omitted or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 1 contract

Samples: Purchase Agreement (Tortoise Energy Infrastructure Corp)

Compliance with Registration Requirements. Each of the Company and the Guarantor meets the requirements for use of Form S-3 under the Securities Act of 1933, as amended (the “1933 Act”). The Registration Statement is an Company and the Guarantor have filed with the Securities and Exchange Commission (the “Commission”) a joint “automatic shelf registration statement” as defined on Form S-3 (File No. 333-202565-02) including the information, if any, deemed to be part of the registration statement at the time of effectiveness pursuant to Rule 430A, 430B or 430C under Rule 405 of the 1933 Act, for the registration under the 1933 Act Regulations that of the Notes. Such registration statement has been filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with meets the requirements of set forth in Rule 415(a)(1)(x) under the 1933 Act and complies in all other respects with said Rule, and as amended at the 1933 Act Regulations (date it became effective, including the exhibits thereto, is hereinafter called the “Registration Statement”. The base prospectus relating to offerings of securities by the Company and the Guarantor filed as part of the Registration Statement, in the form in which it has most recently been filed with the Commission on or prior to the date of this Agreement is hereinafter called the “Basic Prospectus”; any preliminary prospectus, including any preliminary prospectus supplement used in connection with the offer and sale of the Notes, filed with the Commission pursuant to Rule 415(a424(b) is hereinafter called the “Preliminary Prospectus”; the form of the final prospectus relating to the Notes filed with the Commission pursuant to Section 3(a) of this Agreement is hereinafter called the 1933 Act Regulations)“Prospectus”. Any reference herein to the Registration Statement, the Basic Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the Trust Indenture documents incorporated by reference therein pursuant to Form S-3 which were filed under the Securities Exchange Act of 19391934, as amended (the “1939 1934 Act”), and the rules and regulations of the Commission under the 1939 Act thereunder (the “1939 1934 Act Regulations”), and did not and as on or before the date of this Agreement, or the issue date of the Representation Date Basic Prospectus, any Preliminary Prospectus or the Prospectus, as the case may be; and at Closing Time do not contain an untrue statement any reference herein to the terms “amend,” “amendment” or “supplement” with respect to the Registration Statement, the Basic Prospectus, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the filing of a material fact any document under the 1934 Act after the date of this Agreement, or omit to state a material fact required the issue date of the Basic Prospectus, any Preliminary Prospectus or the Prospectus, as the case may be, deemed to be stated incorporated therein or necessary to make the statements therein not misleadingby reference. No stop order suspending the effectiveness of the Registration Statement has been issued Statement, or any post-effective amendment thereto, or any notice objecting to its use under the 1933 Act Rule 401(g)(2), is in effect, and no proceedings for that such purpose are pending before or threatened by the Commission. At or prior to 4:10 p.m., on April 7, 2015 (such time and date, the “Time of Sale”), the Company and the Guarantor had prepared the following information (collectively, the “Time of Sale Information”): a Preliminary Prospectus dated April 7, 2015, which shall include the Basic Prospectus, and each “free writing prospectus,” as defined pursuant to Rule 405 under the 1933 Act, including the final term sheet prepared and filed pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or3(a) hereof, to the knowledge of the Company, are contemplated by the Commission, and any request listed on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”)Annex A hereto.

Appears in 1 contract

Samples: Underwriting Agreement (Teco Energy Inc)

Compliance with Registration Requirements. The (A) (i) At the time of filing the Registration Statement is an and (ii) at the time of the most recent amendment thereto for the purposes of complying with Section 10(a)(3) of the 1933 Act (whether such amendment was by post-effective amendment, incorporated report filed pursuant to Section 13 or 15(d) of the 1934 Act or form of prospectus), the Company met the requirements for use of Form S-3 as set forth in General Instruction I.A to such form, (B) at the time the Company or any person acting on its behalf (within the meaning, for this clause only, of Rule 163(c) under the 1000 Xxx) made any offer relating to the Securities in reliance on the exemption of Rule 163 under the 1933 Act, the Company was a automatic shelf registration statementwell known seasoned issuer” as defined in Rule 405 under the 1933 Act, (C) at the earliest time thereafter that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) of the 1933 Act Regulations) of the Securities, and (D) at the date hereof, the Company was not an “ineligible issuer” as defined in Rule 405 of the 1933 Act Regulations that has been filed with (“Rule 405”). The Company satisfies the Commission not earlier than three years prior eligibility requirements for use of Form S-3 under the 1933 Act set forth in General Instruction I.A to such form and satisfies the date hereof; and no notice of objection of the Commission to transaction eligibility requirements for the use of Form S-3 as set forth in General Instruction I.B.1 to such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Companyform. Each of the Registration Statement and any Rule 462(b) Registration Statement has become effective under the Base Prospectus, at 1933 Act and no stop order suspending the respective times effectiveness of the Registration Statement and any post-effective amendments amendment thereto became or any Rule 462(b) Registration Statement and any post-effective and as of the Representation Dateamendment thereto, complied and comply in all material respects with the requirements of each under the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations)Act, and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The ProspectusAt the respective times the Registration Statement, any Rule 462(b) Registration Statement and any post-effective amendments thereto became effective and at the Representation Date (unless Closing Time, the term “Prospectus” refers to a prospectus which has been provided to Registration Statement, the Underwriters by the Company for use Rule 462(b) Registration Statement and any amendments and supplements thereto complied, complies and will comply in connection all material respects with the offering requirements of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of 1933 Act, the 1933 Act Regulations, in which case at the time it is first provided to 1939 Act and the Underwriters for such userules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”) and at Closing Timedid not, does not and will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading; provided, however, that the Company makes no representations or warranties as to that part of the Registration Statement which shall constitute the Statement of Eligibility and Qualification (Form T-l) under the 1939 Act of the Trustee. Neither the Prospectus nor any amendments or supplements thereto, at the time the Prospectus or any such amendment or supplement was issued and at the Closing Time, included, includes or will include an untrue statement of a material fact or omitted, omits or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that . Each preliminary prospectus and the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from prospectus filed as part of the Registration Statement as originally filed or as part of any amendment thereto, or filed pursuant to Rule 424 under the 1933 Act, complied when so filed in all material respects with the 1933 Act and the 1933 Act Regulations and each preliminary prospectus and the Prospectus made in reliance upon and in conformity with information furnished delivered to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit connection with this offering was identical to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data GatheringEXXXX, Analysisexcept to the extent permitted by Regulation S-T. The Final Term Sheet (as defined below), the Issuer-Represented General Free Writing Prospectus (as defined below) issued at or prior to the Applicable Time (as defined below) and Retrieval system or its Interactive Data Electronic Applications system the Statutory Prospectus (as defined below), all considered together (collectively, the XXXXXGeneral Disclosure Package”)., as of the Applicable Time (as defined below) and the Closing Time (as defined below), will not contain any untrue statement of a material fact or omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. As used in this subsection and elsewhere in this Agreement:

Appears in 1 contract

Samples: Union Bankshares Corp

Compliance with Registration Requirements. The Company is a reporting issuer (or equivalent thereof) in each Qualifying Jurisdiction and is not in default under the securities laws of any Qualifying Jurisdiction. The Company is qualified to file a prospectus in the form of a short form prospectus in each Qualifying Jurisdiction pursuant to the requirements of National Instrument 44-101 — Short Form Prospectus Distributions and is eligible to use the PREP Procedures. The Company meets the general eligibility requirements for use of Form F-10 under the 1933 Act. A MRRS decision document evidencing final receipts has been obtained from the Reviewing Authority on behalf of the Qualifying Authorities in respect of the Final PREP Prospectus, and no order suspending the distribution of or trading in the Securities has been issued by any of the Qualifying Authorities. The Registration Statement is an “automatic shelf registration statement” as defined has become effective under Rule 405 of the 1933 Act Regulations that has been filed with the Commission not earlier than three years prior to the date hereof; Act, and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No stop order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The ProspectusAt the time the Registration Statement became effective under the 1933 Act and at all times subsequent thereto up to and including the Closing Time (as defined in Section 2(c)) (and, if any Option Securities are purchased, at the Representation Date of Delivery (unless as defined in Section 2(b)): (A) the term Canadian Prospectus complied and will comply in all material respects with the securities laws applicable in the Qualifying Jurisdictions and the respective rules and regulations under such laws together with applicable published policy statements (including, without limitation, the PREP Procedures) and applicable notices of securities regulatory authorities in such Qualifying Jurisdictions (Prospectus” refers to a prospectus which has been provided Canadian Securities Laws”); (B) the U.S. Prospectus conformed and will conform to the Underwriters Canadian Prospectus except for such deletions therefrom and additions thereto as are permitted or required by Form F-10 and the Company for use applicable rules and regulations of the Commission; (C) the Registration Statement and any amendments or supplements thereto complied and will comply in connection all material respects with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) requirements of the 1933 Act and the 1933 Act Regulations; (D) neither the Registration Statement nor any amendment or supplement thereto contained or will contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading; and (E) each of the Canadian Prospectus, in which case at the time it is first provided any Supplementary Material or any amendment or supplement thereto, together with each document incorporated therein by reference, constituted and will constitute full, true and plain disclosure of all material facts relating to the Underwriters for such use) Company and at Closing Timeits subsidiaries, taken as a whole, and does not and will not contain a misrepresentation, as defined under Canadian Securities Laws, and the Securities, and each of the U.S. Prospectus, the Canadian Prospectus and any Supplementary Material or any amendment or supplement thereto, together with each document incorporated therein by reference, did not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided. As of the Applicable Time (as defined below), howeverneither (x) any Issuer General Use Free Writing Prospectus (as defined below) issued at or prior to the Applicable Time and the Statutory Prospectus (as defined below) as of the Applicable Time and the information included on Schedule C hereto, that all considered together (collectively, the representations and warranties “General Disclosure Package”), nor (y) any individual Issuer Limited Use Free Writing Prospectus, when considered together with the General Disclosure Package, included any untrue statement of a material fact or omitted to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. As used in this subsection (iv) shall not apply to statements and elsewhere in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).Agreement:

Appears in 1 contract

Samples: Purchase Agreement (Labopharm Inc)

Compliance with Registration Requirements. The Company and the Guarantor meet the requirements for use of Form S-3 under the 1933 Act. Each of the Registration Statement, any Rule 462(b) Registration Statement is an “automatic shelf registration statement” as defined and any post-effective amendment thereto has become effective under Rule 405 of the 1933 Act Regulations that has been filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection stop order suspending the effectiveness of the Commission to the use of such Registration Statement, any Rule 462(b) Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of has been issued under the 1933 Act Regulations and no proceedings for that purpose have been instituted or are pending or, to the knowledge of the Company or the Guarantor, are contemplated by the Commission, and any request on the part of the Commission for additional information has been received by the Companycomplied with. Each of the Registration Statement and the Base Prospectus, at At the respective times the Registration Statement, any Rule 462(b) Registration Statement and any parts thereof or post-effective amendments thereto became effective (for the avoidance of doubt, including at the Applicable Time) and as of at the Representation DateClosing Time, the Registration Statement, the Rule 462(b) Registration Statement and any amendments and supplements thereto complied and will comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture 1939 Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending Neither the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose Prospectus nor any Issuer Free Writing Prospectus nor any amendments or pursuant to Section 8A of the 1933 Act against the Company or related supplements to the offering of the Securities have been instituted Prospectus or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Issuer Free Writing Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case time such document or any such amendment or supplement was issued and at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and included or will not include an untrue statement of a material fact or omitted or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided. As of 8:00p.m. (Eastern time) on the date of this Agreement (the “Applicable Time”), howeverthe Disclosure Package did not include any untrue statement of a material fact or omit to state any material fact necessary in order to make the statements therein, that in light of the circumstances under which they were made, not misleading. The representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement Statement, the Prospectus or Prospectus the Disclosure Package made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement (or any amendment thereto), the Prospectus (or any amendment or supplement thereto) or the Prospectus Disclosure Package (or any amendment or supplement thereto), it being understood and agreed that the only such information furnished by any Underwriter consists of the information contained described as such in any Statement of Eligibility Section 6(b) hereof. Each preliminary prospectus and Qualification of a trustee under the 1939 Act Prospectus filed as an exhibit to part of the Registration Statement (a “Form T-1”). For purposes as originally filed or as part of this Section 1(a), any amendment thereto complied when so filed in all references to material respects with the Registration Statement, any post-effective amendments thereto 1933 Act Regulations and each preliminary prospectus and the Prospectus shall be deemed delivered to include, without limitation, any the Underwriters for use in connection with this offering was identical to the electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data GatheringXXXXX, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).except to the extent permitted by Regulation S-T.

Appears in 1 contract

Samples: Underwriting Agreement (Weatherford International LTD)

Compliance with Registration Requirements. The Registration Statement is Company has filed with the Securities and Exchange Commission (the “Commission”) an “automatic shelf registration statement” as defined under Rule 405 under the Securities Act of 1933, as amended (the “1933 Act”), on Form S-3 (File No. 333-186939), in respect of the 1933 Act Regulations that has been filed with Company’s Common Stock (including the Commission Shares) (collectively, the “Securities”) not earlier than three years prior to the date hereof; such registration statement, and any post-effective amendment thereto, became effective on filing; and no stop order suspending the effectiveness of such registration statement or any part thereof has been issued and no proceeding for that purpose has been initiated or, to the knowledge of the Company, threatened by the Commission, and no notice of objection of the Commission to the use of such Registration Statement form of registration statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of under the 1933 Act Regulations has been received by the Company. Each Company (the base prospectus filed as part of such registration statement, in the form in which it has most recently been filed with the Commission on or prior to the date of this Agreement, is hereinafter called the “Basic Prospectus”; the various parts of such registration statement, excluding any Form T-1 but including all other exhibits thereto and any prospectus supplement or prospectus relating to the Shares that is filed with the Commission and deemed by virtue of Rule 430B under the 1933 Act to be part of such registration statement, each as amended at the time such part of the registration statement became effective, are hereinafter collectively called the “Registration Statement Statement”; the prospectus supplement specifically relating to the Shares prepared and filed with the Base Commission pursuant to Rule 424(b) under the 1933 Act is hereinafter called the “Prospectus Supplement”; the Basic Prospectus, at as amended and supplemented by the respective times Prospectus Supplement, is hereinafter called the Registration Statement “Prospectus”; any reference herein to the Basic Prospectus, the Prospectus Supplement or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under the 1933 Act; any reference to any amendment or supplement to the Basic Prospectus, the Prospectus Supplement or the Prospectus shall be deemed to refer to and include any post-effective amendments thereto became effective amendment to the Registration Statement, any prospectus supplement or base prospectus relating to the Shares filed with the Commission pursuant to Rule 424(b) under the 1933 Act and any documents filed under the Securities Exchange Act of 1934, as amended (the “1934 Act”), and incorporated therein, in each case after the date of the Representation DateBasic Prospectus, complied the Prospectus Supplement or the Prospectus, including any amendments or supplements thereto, as the case may be; any reference to any amendment to the Registration Statement shall be deemed to refer to and comply include any documents filed under the 1934 Act after the date of this Agreement and incorporated by reference in the Registration Statement; and any “issuer free writing prospectus” as defined in Rule 433 under the 1933 Act relating to the Shares that (i) is required to be filed with the Commission by the Company, (ii) is a “road show” that is a “written communication” within the meaning of Rule 433(d)(8)(i) whether or not required to be filed with the Commission or (iii) is exempt from filing pursuant to Rule 433(d)(5)(i) because it contains a description of the Securities or of the offering that does not reflect the final terms is hereinafter called an “Issuer Free Writing Prospectus”). No order preventing or suspending the use of the Basic Prospectus, the Prospectus Supplement, the Prospectus or any Issuer Free Writing Prospectus has been issued by the Commission, and the Basic Prospectus and the Prospectus Supplement, at the time of filing thereof, conformed in all material respects with to the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act thereunder (the “1939 1933 Act Regulations”), ) and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 1 contract

Samples: Terms Agreement (Home Properties Inc)

Compliance with Registration Requirements. The With respect to the Registration Statement, (A) the Registration Statement is an “automatic shelf registration statement” and the Company is a “well known seasoned issuer” (each as defined under in Rule 405 of under the 1933 Act Regulations that Act), (B) the Company has been filed with not received from the Commission not earlier than three years prior to the date hereof; and no any notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has objecting to the use of the Registration Statement, (C) the conditions for use of Form S-3, as set forth in the General Instructions thereof, have been received by satisfied and (D) no stop order suspending the Company. Each effectiveness of the Registration Statement or any Rule 462(b) Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the Base Prospectus1933 Act against the Company or related to the offering have been instituted or are pending or, at to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. At the respective times the Registration Statement, any Rule 462(b) Registration Statement and any post-effective amendments thereto became effective and as or were deemed effective pursuant to Rule 430B(f)(2) of the Representation Date1933 Act (and, if later, at the time of filing of the Company’s annual report on Form 10-K) and at the Closing Time, the Registration Statement, the Rule 462(b) Registration Statement and any amendments and supplements thereto complied and will comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending Neither the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose Prospectus nor any amendments or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectussupplements thereto, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from time the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case or any such amendment or supplement was issued and at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and included or will not include an untrue statement of a material fact or omitted or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided. The Preliminary Prospectus, howeveras of its date, that did not contain any untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. The representations and warranties in this subsection (iv) shall not apply to (A) that part of the Registration Statement which constitutes the Statement of Eligibility and Qualification (Form T-1) under the 1939 Act of the Trustee, (B) information contained in the Registration Statement, the Prospectus or the Preliminary Prospectus relating to The Depository Trust Company and its book-entry system, or (C) statements in or omissions from the Registration Statement Statement, the Prospectus or the Preliminary Prospectus made in reliance upon and in conformity with the information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or Statement, the Prospectus or the Preliminary Prospectus, which information contained in any Statement of Eligibility is set forth on Schedule D hereto. The Preliminary Prospectus and Qualification of a trustee under the 1939 Act Prospectus filed as an exhibit to part of the Registration Statement as originally filed or as part of any amendment thereto, or filed pursuant to Rule 424 of the 1933 Act Regulations (a Form T-1Rule 424”). For purposes of this Section 1(a), complied when so filed in all references to material respects with the Registration Statement1933 Act Regulations, any post-effective amendments thereto and the Preliminary Prospectus and the Prospectus shall be deemed delivered to include, without limitation, any the Underwriters for use in connection with this offering were identical to the electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data GatheringXXXXX, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).except to the extent permitted by Regulation S-T.

Appears in 1 contract

Samples: Underwriting Agreement (Oklahoma Gas & Electric Co)

Compliance with Registration Requirements. (A) The Registration Statement is Company meets the requirements for use of Form S-3 under the 1933 Act and has prepared and filed with the Commission an automatic shelf registration statement, as defined in Rule 405, on Form S-3, including a related Base Prospectus, for registration under Rule 405 of the 1933 Act Regulations that has been filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) offering and sale of the 1933 Act Regulations has been received by Underwritten Securities and other securities of the Company. Each of the Such Registration Statement and the Base ProspectusStatement, at the respective times the Registration Statement and including any post-effective amendments thereto filed before Execution Time, became effective on filing and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No no stop order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, no notice of objection of the Commission to the use of the Registration Statement or any post-effective amendments thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus may have filed with the Commission Commission, as part of an amendment or pursuant to Rule 424(b), one or more preliminary prospectus supplements relating to the Underwritten Securities, each of which has previously been furnished to the Representative(s). The Company will file with the Commission a final prospectus supplement relating to the Underwritten Securities in accordance with Rule 424(b). As filed, such final prospectus supplement, except to the extent the Representative(s) shall agree in writing to a modification, shall be in all substantive respects in the form furnished to the Representative(s) prior to the Execution Time or, to the extent not completed prior to the Execution Time, shall contain only such specific additional information and other changes (beyond that contained in the Base Prospectus and any Preliminary Prospectus) as the Company has advised the Representative(s), prior to the Execution Time, will be included or made therein. The Registration Statement, at the Execution Time, meets the requirements set forth in Rule 415(a)(1)(x) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 1 contract

Samples: Underwriting Agreement (Ambac Financial Group Inc)

Compliance with Registration Requirements. The (A) (i) At the time of filing the Registration Statement is an Statement, (ii) at the time of the most recent amendment thereto for the purposes of complying with Section 10(a)(3) of the 1933 Act (whether such amendment was by post-effective amendment, incorporated report filed pursuant to Section 13 or 15(d) of the 1934 Act or form of prospectus), and (iii) at the time the Company or any person acting on its behalf (within the meaning, for this clause only, of Rule 163(c) under the 1000 Xxx) made any offer relating to the Securities in reliance on the exemption of Rule 163 under the 1933 Act, the Company was a automatic shelf registration statementwell-known seasoned issuer” as defined in Rule 405 under the 1933 Act, (B) at the earliest time thereafter that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) of the 1933 Act Regulations) of the Securities, and (C) at the date hereof, the Company was not an “ineligible issuer” as defined in Rule 405 of the 1933 Act Regulations that has been filed with (“Rule 405”). The Company meets the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the requirements for use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of Form S-3 under the 1933 Act Regulations has been received by the CompanyAct. Each of the Registration Statement and any Rule 462(b) Registration Statement has become effective under the Base Prospectus, at 1933 Act and no stop order suspending the respective times effectiveness of the Registration Statement and any post-effective amendments amendment thereto became or any Rule 462(b) Registration Statement and any post-effective and as of the Representation Dateamendment thereto, complied and comply in all material respects with the requirements of each under the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations)Act, and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The ProspectusAt the respective times the Registration Statement, any Rule 462(b) Registration Statement and any post-effective amendments thereto became effective, at the Representation Date (unless Closing Time the term “Prospectus” refers to a prospectus which has been provided to Registration Statement, the Underwriters by the Company for use Rule 462(b) Registration Statement and any amendments and supplements thereto complied, complies and will comply in connection all material respects with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) requirements of the 1933 Act Regulations, in which case at and the time it is first provided to the Underwriters for such use) 1933 Act Regulations and at Closing Timedid not, does not and will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading; provided, however, that the Company makes no representations or warranties as to that part of the Registration Statement which shall constitute the Statement of Eligibility and Qualification (Form T-1) under the Trust Indenture Act of 1939. Neither the Prospectus nor any amendments or supplements thereto, at the time the Prospectus or any such amendment or supplement was issued, at the Closing Time included, includes or will include an untrue statement of a material fact or omitted, omits or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided. Each preliminary prospectus and the Prospectus, however, that complied when so filed in all material respects with the representations 1933 Act and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or 1933 Act Regulations and each preliminary prospectus and the Prospectus made in reliance upon and in conformity with information furnished delivered to the Company in writing by any Underwriter through the Representatives expressly Underwriters for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit connection with this offering was identical to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data GatheringEXXXX, Analysisexcept to the extent permitted by Regulation S-T. As of the Applicable Time (as defined below), the Final Term Sheet (as defined below), the Issuer-Represented General Free Writing Prospectus (as defined below) issued at or prior to the Applicable Time (as defined below) and Retrieval system or its Interactive Data Electronic Applications system the Statutory Prospectus (as defined below), all considered together (collectively, the XXXXXGeneral Disclosure Package”)., does not contain any untrue statement of a material fact or omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. As used in this subsection and elsewhere in this Agreement:

Appears in 1 contract

Samples: Underwriting Agreement (Valley National Bancorp)

Compliance with Registration Requirements. The Company meets the requirements for use of Form S-3 under the 1933 Act. The Registration Statement is an “automatic shelf registration statement” (as defined under in Rule 405 405) and the Securities are eligible for registration by the Company on such automatic shelf registration statement. Each of the 1933 Act Regulations that Registration Statement and any post-effective amendment thereto has been filed become effective upon filing with the Commission not earlier than three years prior to under the date hereof; and no notice of objection 1933 Act. No stop order suspending the effectiveness of the Commission to the use of such Registration Statement or any post-effective amendment thereto has been issued or is in effect under the 1933 Act, no order preventing or suspending the use of any preliminary prospectus or the Prospectus has been issued and no proceedings for any of those purposes or pursuant to Rule 401(g)(2) Section 8A of the 1933 Act Regulations has have been received instituted or are pending or, to the knowledge of the Company, threatened by the CompanyCommission. The Company has complied with each request (if any) from the Commission for additional information. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became amendment thereto, at the time of its effectiveness and at each deemed effective date with respect to the Underwriter pursuant to Rule 430B(f)(2) under the 1933 Act Regulations, the Applicable Time and as the Closing Time complied in all material respects with the requirements of the Representation Date1933 Act and the 1933 Act Regulations. Each preliminary prospectus, the Prospectus and any amendment or supplement thereto, at the time each was filed with the Commission, and, in each case, at the Applicable Time and the Closing Time complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) and each preliminary prospectus and the Prospectus delivered by the Company to the Underwriter for use in connection with this offering was identical to the electronically transmitted copies thereof filed with the Commission pursuant to XXXXX, except to the extent permitted by Regulation S-T. The documents incorporated or deemed to be incorporated by reference in the Registration Statement and the Prospectus, when they became effective or at the time they were or hereafter are filed with the Commission, complied and will comply in all material respects with the requirements of the 1933 1934 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 1934 Act (the “1939 1934 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 1 contract

Samples: Underwriting Agreement (OneMain Holdings, Inc.)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of the 1933 Act Regulations that Company has been filed with the Securities and Exchange Commission not earlier than (the “Commission”) a registration statement under the Securities Act of 1933, as amended (the “1933 Act”), on Form S-3 (File No. 333-229209), in respect of the Company’s Series E Preferred Stock (including the Shares) (collectively, the “Securities”) has become effective within three years prior to the date hereof; such registration statement, and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto has become effective; and no stop order suspending the effectiveness of such registration statement or any part thereof is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company, are contemplated or threatened by the Commission (the base prospectus filed as part of such registration statement, in the form in which it has most recently been filed with the Commission on or prior to the date of this Agreement, is hereinafter called the “Base Prospectus”; the various parts of such registration statement, including all exhibits thereto and any prospectus supplement relating to the Shares that is filed with the Commission and deemed by virtue of Rule 430B to be part of such registration statement, each as amended at the time such part of the registration statement became effective, are hereinafter collectively called the “Registration Statement”; the prospectus supplement specifically relating to the Shares prepared and filed with the Commission pursuant to Rule 401(g)(2424(b) of under the 1933 Act Regulations has been received by is hereinafter called the Company. Each of the Registration Statement and “Prospectus Supplement”; the Base Prospectus, at as amended and supplemented by the respective times Prospectus Supplement, is hereinafter called the Registration Statement “Prospectus”; any reference herein to the Base Prospectus, the Prospectus Supplement or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 under the 1933 Act; any reference to any amendment or supplement to the Base Prospectus, the Prospectus Supplement or the Prospectus shall be deemed to refer to and include any post-effective amendments thereto became effective and as of amendment to the Representation DateRegistration Statement, complied and comply in all material respects any prospectus supplement relating to the Shares filed with the requirements of Commission pursuant to Rule 424(b) under the 1933 Act and any documents filed under the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Securities Exchange Act of 19391934, as amended (the “1939 1934 Act”), and the rules and regulations of the Commission under the 1939 Act thereunder (the “1939 1934 Act Regulations”), and did not and as incorporated therein, in each case after the date of the Representation Date Base Prospectus, the Prospectus Supplement or the Prospectus, as the case may be; any reference to any amendment to the Registration Statement shall be deemed to refer to and include any annual report of the Company filed pursuant to Section 13(a) or 15(d) of the 1934 Act after the effective date of the Registration Statement that is incorporated by reference in the Registration Statement; and any “issuer free writing prospectus” as defined in Rule 433 under the 1933 Act relating to the Shares is hereinafter called an “Issuer Free Writing Prospectus”). The sale of the Shares hereunder meets the requirements of General Instruction I.B.1 of Form S-3. No order preventing or suspending the use of the Base Prospectus, the Prospectus Supplement, the Prospectus or any Issuer Free Writing Prospectus is in effect and no proceedings for such purpose have been instituted or are pending or, to the best knowledge of the Company are contemplated or threatened by the Commission, and the Base Prospectus and the Prospectus Supplement, at Closing Time do the time of filing thereof, conformed in all material respects to the requirements of the 1933 Act and the rules and regulations of the Commission thereunder (the “1933 Act Regulations”) and did not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 1 contract

Samples: Terms Agreement (Gladstone Commercial Corp)

Compliance with Registration Requirements. The Registration Statement Company is an “automatic shelf registration statement” as defined a reporting issuer (or equivalent thereof) in each Qualifying Jurisdiction and is not in default under Rule 405 the securities laws of any Qualifying Jurisdiction. The Company is qualified to file a prospectus in the 1933 Act Regulations that has been filed with the Commission not earlier than three years prior to the date hereof; and no notice form of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto a short form prospectus in each Qualifying Jurisdiction pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of National Instrument 44-101 — Short Form Prospectus Distributions and is eligible to use the PREP Procedures. The Company meets the general eligibility requirements for use of Form F-10 under the 1933 Act Act. A MRRS decision document evidencing final receipts has been obtained from the Reviewing Authority on behalf of the Qualifying Authorities in respect of the Final PREP Prospectus, and no order suspending the distribution of or trading in the Securities has been issued by any of the Qualifying Authorities. Each Registration Statement has become effective under the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations)Act, and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No no stop order suspending the effectiveness of the Registration Statement Statements has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The ProspectusAt the time the Registration Statements became effective under the 1933 Act and at all times subsequent thereto up to and including the Closing Time (as defined in Section 2(c)) (and, if any Option Securities are purchased, at the Representation Date of Delivery (unless as defined in Section 2(b)): (A) the term Canadian Prospectus complied and will comply in all material respects with the securities laws applicable in the Qualifying Jurisdictions and the respective rules and regulations under such laws together with applicable published policy statements (including, without limitation, the PREP Procedures) and applicable notices of securities regulatory authorities in such Qualifying Jurisdictions (Prospectus” refers to a prospectus which has been provided Canadian Securities Laws”); (B) the U.S. Prospectus conformed and will conform to the Underwriters Canadian Prospectus except for such deletions therefrom and additions thereto as are permitted or required by Form F-10 and the Company for use applicable rules and regulations of the Commission; (C) the Registration Statements and any amendments or supplements thereto complied and will comply in connection all material respects with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) requirements of the 1933 Act and the 1933 Act Regulations; (D) neither of the Registration Statements nor any amendment or supplement thereto contained or will contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading; and (E) each of the Canadian Prospectus, in which case at the time it is first provided any Supplementary Material or any amendment or supplement thereto, together with each document incorporated therein by reference, constituted and will constitute full, true and plain disclosure of all material facts relating to the Underwriters for such use) Company and at Closing Timeits subsidiaries, taken as a whole, and does not and will not contain a misrepresentation, as defined under Canadian Securities Laws, and the Securities, and each of the U.S. Prospectus, the Canadian Prospectus and any Supplementary Material or any amendment or supplement thereto, together with each document incorporated therein by reference, did not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided. As of the Applicable Time (as defined below), howeverneither (x) any Issuer General Use Free Writing Prospectus (as defined below) issued at or prior to the Applicable Time and the Statutory Prospectus (as defined below) as of the Applicable Time and the information included on Schedule C hereto, that all considered together (collectively, the representations and warranties “General Disclosure Package”), nor (y) any individual Issuer Limited Use Free Writing Prospectus, when considered together with the General Disclosure Package, included any untrue statement of a material fact or omitted to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. As used in this subsection (iv) shall not apply to statements and elsewhere in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).Agreement:

Appears in 1 contract

Samples: Purchase Agreement (Labopharm Inc)

Compliance with Registration Requirements. The Registration Statement is Company has filed with the Securities and Exchange Commission (the “Commission”) an “automatic shelf registration statement” as defined under Rule 405 under the Securities Act of 1933, as amended (the “1933 Act”), on Form S‑3 (File No. 333-217491), in respect of certain of the 1933 Act Regulations that has been filed with Company’s securities, including the Commission Common Stock, not earlier than three years prior to the date hereof; such registration statement, and any post-effective amendment thereto, became effective on filing; and no stop order suspending the effectiveness of such registration statement or any part thereof has been issued and no proceeding for that purpose has been initiated or, to the knowledge of the Company, threatened by the Commission, and no notice of objection of the Commission to the use of such Registration Statement form of registration statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of under the 1933 Act Regulations has been received by the Company. Each Company (the base prospectus filed as part of such registration statement, in the form in which it has most recently been filed with the Commission on or prior to the date of this Agreement, is hereinafter called the “Basic Prospectus”; the various parts of such registration statement, excluding any Form T-1 but including all other exhibits thereto and any prospectus supplement or prospectus relating to the Shares that is filed with the Commission and deemed by virtue of Rule 430B under the 1933 Act to be part of such registration statement, each as amended at the time such part of the registration statement became effective, are hereinafter collectively called the “Registration Statement Statement”; the prospectus supplement specifically relating to the Shares prepared and filed with the Base Commission pursuant to Rule 424(b) under the 1933 Act is hereinafter called the “Prospectus Supplement”; the Basic Prospectus, at as amended and supplemented by the respective times Prospectus Supplement, is hereinafter called the Registration Statement “Prospectus”; any reference herein to the Basic Prospectus, the Prospectus Supplement or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S‑3 under the 1933 Act; any reference to any amendment or supplement to the Basic Prospectus, the Prospectus Supplement or the Prospectus shall be deemed to refer to and include any post-effective amendments thereto became effective and as of amendment to the Representation DateRegistration Statement, complied and comply in all material respects any prospectus supplement or base prospectus relating to the Shares filed with the requirements of Commission pursuant to Rule 424(b) under the 1933 Act and any documents filed under the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Securities Exchange Act of 19391934, as amended (the “1939 1934 Act”), and the rules and regulations of the Commission under the 1939 Act thereunder (the “1939 1934 Act Regulations”) and incorporated therein, in each case after the date of the Basic Prospectus, the Prospectus Supplement or the Prospectus, as the case may be; any reference to any amendment to the Registration Statement shall be deemed to refer to and include any annual report of the Company filed pursuant to Section 13(a) or 15(d) of the 1934 Act after the effective date of the Registration Statement that is incorporated by reference in the Registration Statement; and any “issuer free writing prospectus” as defined in Rule 433 under the 1933 Act relating to the Shares is hereinafter called an “Issuer Free Writing Prospectus”). No order preventing or suspending the use of the Basic Prospectus, the Prospectus Supplement, the Prospectus or any Issuer Free Writing Prospectus has been issued by the Commission, and the Basic Prospectus and the Prospectus Supplement, at the time of filing thereof, conformed in all material respects to the requirements of the 1933 Act and the rules and regulations of the Commission thereunder (the “1933 Act Regulations”) and did not and as of the Representation Date and at Closing Time do not contain or include an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 1 contract

Samples: Sales Agreement (UDR, Inc.)

Compliance with Registration Requirements. The A registration ----------------------------------------- statement on Form S-3 (File No. 333-63790), including all pre-effective amendments thereto (the "Initial Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 Statement"), in respect of the 1933 Act Regulations that Securities has been filed with the Commission not earlier than three years prior to Commission; the date hereof; and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and the Base Prospectus, at the respective times the Initial Registration Statement and any post-effective amendments thereto amendment thereto, each in the form heretofore delivered to you, and, excluding exhibits thereto, but including all documents incorporated by reference in the prospectus contained therein, to you for each of the other Underwriters, have been declared effective by the Commission in such form; other than a registration statement, if any, increasing the size of the offering (a "Rule 462(b) Registration Statement"), filed pursuant to Rule 462(b) under the 1933 Act, and the rules and regulations (the "1933 Act Regulations") of the Commission thereunder, which became effective upon filing, no other document with respect to the Initial Registration Statement or document incorporated by reference therein has heretofore been filed with the Commission; and as no stop order suspending the effectiveness of the Representation DateInitial Registration Statement, complied any post-effective amendment thereto or the Rule 462(b) Registration Statement, if any, has been issued and comply no proceeding for that purpose has been initiated or, to the knowledge of the Company, threatened by the Commission (any preliminary prospectus included in the Initial Registration Statement or filed with the Commission pursuant to Rule 424(a) of the 1933 Act Regulations, is hereinafter called a "Preliminary Prospectus"). No document has been or will be prepared or distributed in reliance on Rule 434 under the 1933 Act. No order preventing or suspending the use of any Preliminary Prospectus has been issued by the Commission. The Registration Statement conforms (and the Rule 462(b) Registration Statement, if any, the Prospectus and any amendments or supplements to either of the Registration Statements or the Prospectus, when they become effective or are filed with the Commission, as the case may be, will conform) in all material respects with to the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) and do not and will not, as of the 1933 Act Regulations), applicable effective date (as to the Registration Statements and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not any amendment thereto) and as of the Representation Date applicable filing date (as to the Prospectus and at Closing Time do not any amendment or supplement thereto) contain an any untrue statement of a material fact or omit to state a any material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the foregoing representations and warranties in this subsection (iv) shall not apply to statements information contained in or omissions omitted from the Registration Statement Statements or the Prospectus made or any such amendment or supplement thereto in reliance upon upon, and in conformity with with, written information furnished to the Company in writing through CSFBC or Xxxxxxx Xxxxx by or on behalf of any Underwriter through the Representatives expressly specifically for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”)inclusion therein.

Appears in 1 contract

Samples: Underwriting Agreement (Icos Corp / De)

Compliance with Registration Requirements. (A) At the time of filing the Registration Statement, (B) at the time of the most recent amendment thereto for the purposes of complying with Section 10(a)(3) of the 1933 Act (whether such amendment was by post-effective amendment, incorporated report filed pursuant to Section 13 or 15(d) of the 1934 Act or form of prospectus), (C) at the time the Company or any person acting on its behalf (within the meaning, for this clause only, of Rule 163(c) of the 1933 Act Regulations) made any offer relating to the Notes in reliance on the exemption of Rule 163 of the 1933 Act Regulations, and (D) on the date of this Agreement (with such date being used as the determination date for purposes of this clause (D)), the Company was and is a “well-known seasoned issuer” (as defined in Rule 405 of the 1933 Act Regulations). The Registration Statement is an “automatic shelf registration statement”, as defined under in Rule 405 of the 1933 Act Regulations Regulations, that has been filed with the Commission not earlier than initially became effective within three years prior to of the date hereof; , and no notice of objection of the Company has not received from the Commission to the use of such Registration Statement or any post-effective amendment thereto notice pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each objecting to use of the Registration Statement automatic shelf registration statement form and the Base ProspectusCompany has not otherwise ceased to be eligible to use the automatic shelf registration statement form. The Registration Statement, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as each time of the Representation Date, complied and comply in all material respects with the requirements of effectiveness under the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations)each, and the Trust Indenture Act of 1939, as amended (the an 1939 ActEffective Date”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”)did not contain, and any post-effective amendment thereto, at such date, did not and as of the Representation Date and at Closing Time do not contain an contain, any untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the The Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending orStatement, to the knowledge of the Companyat each Effective Date, are contemplated by the Commissioncomplied, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus time it is filed with the Commission pursuant to Rule 424(b) of under the 1933 Act, and as amended or supplemented, if applicable, when so filed, will comply, in all material respects with the 1933 Act, the 1933 Act RegulationsRegulations and the Trust Indenture Act of 1939, in which case at as amended (the time it is first provided to “Trust Indenture Act”). The Prospectus, as of its date, did not include, and, as amended or supplemented, if applicable, as of the Underwriters for such use) and at Closing Time, does not and will not include an include, any untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the . The representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or the Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives Underwriters expressly for use in the Registration Statement or the Prospectus or and to those parts of the information contained in any Registration Statement that constitute the Statement of Eligibility and Qualification of a trustee (Form T-1) under the 1939 Trust Indenture Act filed as an exhibit to of the Registration Statement (a “Form T-1”)Trustee. For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto The preliminary prospectus and the Prospectus shall be deemed delivered or made available to include, without limitation, any the Underwriters for use in connection with the offering of the Notes was identical to the electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data GatheringEXXXX, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).except to the extent permitted by Regulation S-T.

Appears in 1 contract

Samples: Underwriting Agreement (Countrywide Financial Corp)

Compliance with Registration Requirements. The Registration Statement is an Company has filed with the Securities and Exchange Commission (the automatic Commission”) a shelf registration statement” statement on Form S‑3 (File No. 333‑170374) under the Securities Act of 1933, as defined amended (the “1933 Act”), in respect of the Preferred Stock (including the Securities) on November 4, 2010, which contains a base prospectus, to be used in connection with the public offering and sale of the Securities; the Company satisfies all eligibility requirements for use of Form S‑3 as contemplated by such registration statement and this Agreement; such registration statement became effective under Rule 405 of the 1933 Act Regulations that upon filing; the Company has complied to the Commission's satisfaction with all requests of the Commission for additional or supplemental information with respect to such registration statement or otherwise; no stop order suspending the effectiveness of such registration statement or any part thereof has been filed with the Commission not earlier than three years prior issued and no proceeding for that purpose has been initiated or, to the date hereof; knowledge of the Company, threatened by the Commission, and no notice of objection of the Commission to the use of such Registration Statement form of registration statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each Company (the base prospectus filed as part of such registration statement, in the Registration Statement and form in which it was filed with the Base Commission on or prior to the date of this Agreement, is hereinafter called the “Basic Prospectus”); the various parts of such registration statement, at the respective times the Registration Statement including all exhibits thereto and any post-effective amendments thereto became effective and as of prospectus supplement or prospectus relating to the Representation Date, complied and comply in all material respects Securities that is filed with the requirements Commission and deemed by virtue of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued 430B under the 1933 Act to be part of such registration statement (any such information that was omitted from such registration statement at the time it became effective but that was deemed to be a part and no proceedings for that purpose or included in such registration statement pursuant to Section 8A of Rule 430B under the 1933 Act against the Company or related is referred to the offering of the Securities have been instituted or are pending oras “430B Information”), to the knowledge of the Company, are contemplated by the Commission, and any request on the each as amended at each time such part of the Commission for additional information has been complied with. The Prospectusregistration statement became effective, at are hereinafter collectively called the Representation Date (unless the term Prospectus” refers to a Registration Statement”; each preliminary prospectus which has been provided to the Underwriters by the Company for use used in connection with the offering of the Securities which differs from that omitted Rule 430B Information, including the related Basic Prospectus in the form first filed by the Company pursuant to Rule 424(b) under the 1933 Act is herein called, a “Preliminary Prospectus”; the final prospectus supplement specifically relating to the Securities prepared and filed with the Commission pursuant to Rule 424(b) of under the 1933 Act Regulationsis hereinafter called the “Prospectus Supplement”; the Basic Prospectus, in which case at as amended and supplemented by the time it Prospectus Supplement, is first provided hereinafter called the “Prospectus”; any reference herein to the Underwriters for such use) Basic Prospectus, each Preliminary Prospectus or the Prospectus shall be deemed to refer to and at Closing Time, does not and will not include an untrue statement the documents incorporated by reference therein pursuant to Item 12 of a material fact or omit to state a material fact necessary in order to make Form S‑3 under the statements therein, in the light of the circumstances under which they were made, not misleading1933 Act; provided, however, that no representation or warranty included in any exhibit to any such incorporated document, other than the representations and warranties in this subsection (iv) shall not apply contained herein, is deemed to statements in be made to you; any reference to any amendment or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished supplement to the Company in writing by Basic Prospectus, any Underwriter through the Representatives expressly for use in the Registration Statement Preliminary Prospectus or the Prospectus or the information contained in shall be deemed to refer to and include any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references post-effective amendment to the Registration Statement, any post-effective amendments thereto and prospectus supplement or base prospectus relating to the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof Securities filed with the Commission pursuant to its Electronic Data GatheringRule 424(b) under the 1933 Act and any documents filed under the Securities Exchange Act of 1934, Analysisas amended (the “1934 Act”), and Retrieval system incorporated therein, in each case after the date of the Basic Prospectus, each Preliminary Prospectus or its Interactive Data Electronic Applications system (collectivelythe Prospectus, “XXXXX”)as the case may be; any reference to any amendment to the Registration Statement shall be deemed to refer to and include any annual report of the Company filed pursuant to Section 13(a) or 15(d) of the 1934 Act after the effective date of the Registration Statement that is incorporated by reference in the Registration Statement.

Appears in 1 contract

Samples: Underwriting Agreement (American Capital Agency Corp)

Compliance with Registration Requirements. The Registration Statement is an “Company meets the requirements for use of Form S-3 under the 1933 Act and for use of automatic shelf registration statement” statements (as defined under in Rule 405 of under the 1933 Act Regulations that Act) on Form S-3. The Company has been filed with the Commission Commission, not earlier than three years prior to the date hereof, an automatic shelf registration statement on Form S-3 (File No. 333-264984), including a prospectus, relating to certain securities to be issued from time to time by the Company, including the Securities, which registration statement became effective upon filing pursuant to Rule 462(e) under the 1933 Act; no stop order suspending the effectiveness of the Registration Statement has been issued and no proceeding or examination under Section 8(d) or 8(e) of the 1933 Act has been instituted or, to the Company’s knowledge, threatened by the Commission; the Company is not the subject of a pending proceeding under Section 8A of the 1933 Act; and no notice of objection of the Commission to the use of such Registration Statement the registration statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of under the 1933 Act Regulations has been received by the Company. Each The parts of the registration statement, including all exhibits thereto and the documents filed under the 1934 Act that are incorporated by reference in the prospectus relating to the Securities contained in the registration statement at the time such part of the registration statement became effective, each as amended at the time each such part of the registration statement most recently became effective, are hereinafter collectively called the “Registration Statement,” and such times are hereinafter collectively called the “applicable effective date” of the Registration Statement. The Registration Statement meets the requirements set forth in Rule 415(a)(1)(ix) or (x) under the 1933 Act. The prospectus dated May 16, 2022 relating to the Securities contained in the registration statement is hereinafter referred to as the “Base Prospectus.” In connection with the sale of the Securities, the Company has filed with the Commission pursuant to Rule 424(b) under the 1933 Act a preliminary prospectus supplement relating to the Securities. Such preliminary prospectus supplement and Base Prospectus, including the documents incorporated or deemed to be incorporated by reference therein pursuant to Item 12 of Form S-3 under the 1933 Act, are hereinafter called, collectively, the “Pre-Pricing Prospectus.” Promptly after the execution and delivery of this Agreement, the Company will prepare and file with the Commission a prospectus supplement dated November 7, 2023 (the “Prospectus Supplement”) and will file the Prospectus Supplement and the Base Prospectus with the Commission, all in accordance with the provisions of Rule 430B and Rule 424(b). The Prospectus Supplement and the Base Prospectus, at in the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided form first furnished to the Underwriters by the Company for use in connection with the offering of the Securities which differs from (whether to meet the Prospectus filed with the Commission request of purchasers pursuant to Rule 424(b173(d) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(aotherwise), all references are herein called, collectively, the “Prospectus.” Any reference herein to the Registration Statement, any postthe Pre-effective amendments thereto and Pricing Prospectus or the Prospectus shall be deemed to includerefer to and include the documents filed under the 1934 Act and incorporated by reference therein on or before the applicable effective date of the Registration Statement or the issue date of the Pre-Pricing Prospectus or the Prospectus, without limitationas the case may be; and any reference herein to the terms “amend,” “amendment” or “supplement” with respect to the Registration Statement, the Pre-Pricing Prospectus or the Prospectus shall be deemed to refer to and include any electronically transmitted copies thereof documents filed with under the Commission pursuant to its Electronic Data Gathering1934 Act and incorporated by reference therein after the applicable effective date of the Registration Statement or the issue date of the Pre-Pricing Prospectus or the Prospectus, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”)as the case may be.

Appears in 1 contract

Samples: Idacorp Inc

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined has become effective under Rule 405 of the 1933 Act Regulations that has been filed with and the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement or any Rule 462(d) post-effective amendment thereto pursuant to Rule 401(g)(2) of will become effective upon its filing with the 1933 Act Regulations has been received by Commission. No stop order suspending the Company. Each effectiveness of the Registration Statement has been issued under the 1933 Act, or order of suspension or revocation of registration pursuant to Section 8(e) of the 1940 Act, and no proceedings for any such purpose, have been instituted or are pending or, to the Base Prospectusknowledge of the Fund or the Adviser, at are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. At the respective times the Registration Statement and any the Rule 462(d) post-effective amendments thereto amendment relating to the issuance and sale of the Shares to the Investor (filed before the Closing Time) became effective and as of at the Representation DateClosing Time, the Registration Statement, the Rule 462(d) post-effective amendment, the notification on Form N-8A and all amendments and supplements thereto complied and will comply in all material respects with the requirements of the 1933 Act, the 1940 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Rules and Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending Neither the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose Prospectus nor any amendment or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectussupplement thereto, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from time the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case or any such amendment or supplement was issued and at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and included or will not include an untrue statement of a material fact or omitted or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 1 contract

Samples: Purchase Agreement (Tortoise Energy Infrastructure Corp)

Compliance with Registration Requirements. The Company meets the requirements for use of Form S-3 and a registration statement on Form S-3 (Registration Statement is an No. 333-162374) relating to the Securities which was declared effective on November 5, 2009 (the automatic shelf Effective Date”), including a base prospectus dated as of October 7, 2009 (the “Base Prospectus”) and such amendments to such registration statement” statement as defined may have been required to the date of this Agreement, has been prepared by the Company under Rule 405 the provisions of the 1933 Act and the Rules and Regulations that of the Securities and Exchange Commission (the “Commission”) thereunder, and has been filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use Commission. Copies of such Registration Statement or any post-effective registration statement and of each amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the Company. Each of the Registration Statement and thereto, if any, including the Base Prospectus, heretofore filed by the Company with the Commission have been delivered to the Placement Agent. The term “Registration Statement” means the registration statement as amended at the respective times time it became effective, including financial statements and all exhibits and any information deemed to be included therein by Rule 430A, Rule 430B or Rule 430C of the Rules and Regulations, as applicable. If the Company files a registration statement to register a portion of the Securities and relies on Rule 462(b) of the Rules and Regulations for such registration statement to become effective upon filing with the Commission (the “Rule 462 Registration Statement”), then any reference to the “Registration Statement” shall be deemed to include the Rule 462 Registration Statement, as amended from time to time. The Company has filed the Base Prospectus with the Commission and shall promptly hereafter file with the Commission a prospectus supplement relating to the Units in accordance with Rule 424(b) under the Act (the “Prospectus Supplement”). The term “Prospectus” as used herein means the Base Prospectus together with the Prospectus Supplement. Any reference herein to the Registration Statement or the Prospectus shall be deemed to refer to and any post-effective amendments thereto became effective and as include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 which were filed under the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Securities Exchange Act of 19391934, as amended (the “1939 Exchange Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness in respect of the Registration Statement has been issued under Statement, other information deemed by the 1933 Act Rules and no proceedings for that purpose Regulations to be a part of or pursuant to Section 8A included therein, on or before the initial effective date or the date of the 1933 Act against Prospectus, as the Company or related case may be. Any reference herein to the offering of the Securities have been instituted terms “amend,” “amendment” or are pending or, “supplement” with respect to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters for such use) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or shall be deemed to refer to and include the information contained in filing of any Statement of Eligibility and Qualification of a trustee document under the 1939 Exchange Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes which is incorporated by reference therein, or in respect of this Section 1(a), all references to the Registration Statement, any post-such other information deemed by the Rules and Regulations to be a part of or included therein, after the initial effective amendments thereto and date, or the Prospectus shall be deemed to includedate of the Prospectus, without limitation, any electronically transmitted copies thereof filed with as the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”)case may be.

Appears in 1 contract

Samples: Placement Agent Agreement (Raptor Pharmaceutical Corp)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 Offerors meet the requirements of the 1933 Act Regulations that has been use of Form S-3 and have prepared and filed with the Commission not earlier than three years prior to a registration statement on Form S-3 (File Numbers 333-155936 and 333-155936-01) for the date hereof; and no notice of objection registration of the Commission Designated Preferred Securities, the Guarantee and $30,000,000 aggregate principal amount of Debentures under the Securities Act of 1933, as amended (the "1933 Act"), including the related prospectus subject to the use of completion, and one or more amendments to such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has registration statement may have been received by the Company. Each of the Registration Statement and the Base Prospectusso filed, at the respective times the Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in each case in conformity in all material respects with the requirements of the 1933 Act Act, the rules and regulations promulgated thereunder (the 1933 Act Regulations (including Rule 415(a) of the "1933 Act Regulations), ") and the Trust Indenture Act of 1939, as amended (the “1939 "Trust Indenture Act"), and the rules and regulations thereunder. Copies of such registration statement, including any amendments thereto and any documents incorporated by reference therein, each Preliminary Prospectus (as defined herein) contained therein and the exhibits, financial statements and schedules to such registration statement, as finally amended and revised, have heretofore been delivered by the Offerors to the Underwriter. After the execution of this Agreement, the Offerors will file with the Commission under (A) if such registration statement, as it may have been amended, has been declared by the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required Commission to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness of the Registration Statement has been issued effective under the 1933 Act and Act, a prospectus in the form most recently included in an amendment to such registration statement (or, if no proceedings for that purpose such amendment shall have been filed, in such registration statement), with such changes or pursuant to Section 8A insertions as are required by Rule 430A of the 1933 Act against the Company Regulations ("Rule 430A") or related to the offering permitted by Rule 424(b) of the Securities 1933 Act Regulations ("Rule 424(b)") and as have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters and not objected to by the Company for use Underwriter before (or as are agreed to by the Underwriter subsequent to) the execution of this Agreement, or (B) if such registration statement, as it may have been amended, has not been declared by the Commission to be effective under the 1933 Act, an amendment to such registration statement, including a form of final prospectus, necessary to permit such registration statement to become effective, a copy of which amendment has been furnished to and not objected to by the Underwriter before (or is agreed to by the Underwriter subsequent to) the execution of this Agreement. As used in connection this Agreement, the term "Registration Statement" means such registration statement, as amended at the time when it was or is declared effective under the 1933 Act, including (1) all financial schedules and exhibits thereto, (2) all documents (or portions thereof) incorporated by reference therein filed under the 1934 Act, and (3) any information omitted therefrom pursuant to Rule 430A and included in the Prospectus (as hereinafter defined); the term "Preliminary Prospectus" means each prospectus subject to completion filed with such registration statement or any amendment thereto including all documents (or portions thereof) incorporated by reference therein under the offering 1934 Act (including the prospectus subject to completion, if any, included in the Registration Statement and each prospectus filed pursuant to Rule 424(a) under the 1933 Act,); the term "Issuer Free Writing Prospectus" shall mean a free writing prospectus as set forth in Rule 433 of the Securities which differs from 1933 Act; and the Prospectus term "Prospectus" means the prospectus first filed with the Commission pursuant to Rule 424(b424(b)(1) of the 1933 Act Regulationsor (4) or, in which case at the time it if no prospectus is first provided required to the Underwriters for such usebe filed pursuant to Rule 424(b)(1) and at Closing Time, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a4), all references to the prospectus included in the Registration Statement, any post-in each case including the financial schedules and all documents (or portions thereof) incorporated by reference therein under the 1934 Act. The date on which the Registration Statement becomes effective amendments thereto and is hereinafter referred to as the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”)"Effective Date."

Appears in 1 contract

Samples: Underwriting Agreement (S Y Bancorp Inc)

Compliance with Registration Requirements. The Registration Statement is Company has filed with the Securities and Exchange Commission (the “Commission”) an “automatic shelf registration statement” as defined under Rule 405 under the Securities Act of 1933, as amended, and the rules and regulations promulgated thereunder (collectively, the “1933 Act”), on Form S-3 (File No. 333-165165), in respect of certain of the 1933 Act Regulations that has been filed with Company’s Common Stock (including the Commission Securities) not earlier than three years prior to the date hereof; such registration statement, and any post-effective amendment thereto, became effective on filing. The base prospectus filed as part of such registration statement, in the form in which it has most recently been filed with the Commission prior to the date of this Agreement, is hereinafter called the “Basic Prospectus”; such registration statement, at any given time, as amended by any post-effective amendment to such time, including all other exhibits and schedules thereto, the documents incorporated or deemed to be incorporated by reference therein at such time pursuant to Item 12 of Form S-3 under the 1933 Act and the documents otherwise deemed by virtue of Rule 430B under the 1933 Act to be part of such registration statement, at such time, is hereinafter called the “Registration Statement,” provided, however, that the term “Registration Statement,” without reference to a time, means such registration statement, as so amended as of the time of the first contract of sale for the Securities, which time shall be considered the “new effective date” of such registration statement with respect to the Securities within the meaning of paragraph (f)(2) of Rule 430B, including the exhibits and schedules thereto as of such time, the documents incorporated or deemed incorporated by reference therein at such time pursuant to Item 12 of Form S-3 under the 1933 Act and the documents otherwise deemed to be a part of such registration statement as of such time pursuant to the Rule 430B. No stop order suspending the effectiveness of the Registration Statement or any part thereof has been issued and no proceeding for that purpose has been initiated or, to the knowledge of the Company, threatened by the Commission, and no notice of objection of the Commission to the use of such Registration Statement form of registration statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of under the 1933 Act Regulations has been received by the Company. Each The preliminary prospectus supplement, dated September 19, 2011, specifically relating to the Securities, prepared and filed with the Commission pursuant to Rule 424(b) under the 1933 Act, is hereinafter called the “Preliminary Prospectus Supplement”; the Basic Prospectus, as amended and supplemented by the Preliminary Prospectus Supplement, is hereinafter called the “Preliminary Prospectus”; any reference herein to the Basic Prospectus, the Preliminary Prospectus Supplement or the Preliminary Prospectus shall be deemed to include the documents incorporated or deemed incorporated by reference therein pursuant to Item 12 of Form S-3 under the 1933 Act Promptly after execution and delivery of this Agreement, the Company will prepare and file a final prospectus and prospectus supplement relating to the Securities in accordance with the provisions of Rule 424(b) under the 1933 Act (“Rule 424(b)”). Such final prospectus and prospectus supplement, in the form first furnished or made available to the Underwriters for use in connection with the offering of the Securities, including the documents incorporated or deemed to be incorporated by reference therein as of the execution and delivery of this Agreement pursuant to Item 12 of Form S-3 under the 1933 Act, are collectively called the “Prospectus.” For purposes of this Agreement, all references to the Registration Statement, the Preliminary Prospectus, the Prospectus or any amendment or supplement to any of the foregoing shall be deemed to include the copy filed with the Commission pursuant to its Electronic Data Gathering, Analysis and Retrieval system (or any successor system)(“EXXXX”). No order preventing or suspending the use of the Preliminary Prospectus or the Prospectus has been issued by the Commission or any other governmental authority or agency. The Preliminary Prospectus and the Prospectus delivered to the Underwriters for use in connection with this offering was identical to the electronically transmitted copies thereof filed with the Commission pursuant to EXXXX, except to the extent permitted by Regulation S-T. The Registration Statement, the Preliminary Prospectus, the Prospectus and any amendment or supplement thereto, at the time of effectiveness and each deemed effective date with respect to the Underwriters and the Securities pursuant to Rule 430B(f)(2), in the case of the Registration Statement and any amendment thereto, filing, in the Base Prospectus, at case of the respective times Preliminary Prospectus and the Registration Statement Prospectus and any post-effective amendments thereto became effective and as of the Representation Dateamendment or supplement thereto, complied and comply in all material respects with the requirements of the 1933 Act Act. Neither the Registration Statement nor any amendment thereto, at the time of its effectiveness, at each deemed effective date with respect to the Underwriters and the 1933 Act Regulations (including Securities pursuant to Rule 415(a) of the 1933 Act Regulations430B(f)(2), and at the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not or at any Date of Delivery, contained, contains or will contain an untrue statement of a material fact or omitted, omits or will omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending the effectiveness As of the Registration Statement has been issued under Applicable Time, neither (A) the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and General Disclosure Package nor (B) any request on the part of the Commission for additional information has been complied with. The individual Issuer Limited Use Free Writing Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters by the Company for use in connection when considered together with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act RegulationsGeneral Disclosure Package, in which case at the time it is first provided to the Underwriters for such use) and at Closing Timeincluded, does not and includes or will not include an untrue statement of a material fact or omitted, omits or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided. Neither the Prospectus nor any amendment or supplement thereto (including any prospectus wrapper) as of its issue date, howeverat the time of any filing with the Commission pursuant to Rule 424(b), that at the Closing Time or at any Date of Delivery, included, includes or will include an untrue statement of a material fact or omitted, omits or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. The representations and warranties in this subsection (iv) shall not apply to statements in or omissions from the Registration Statement Statement, the General Disclosure Package or the Prospectus or any amendment or supplement thereto made in reliance upon and in conformity with written information furnished to the Company in writing by any Underwriter through the Representatives Mxxxxxx Lxxxx expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”)therein. For purposes of this Section 1(a)Agreement, all references to the Registration Statementonly information so furnished shall be the information in the first paragraph under the heading “Underwriting–Commissions and Discounts,” the information in the second, any post-effective amendments thereto third and fourth paragraphs under the heading “Underwriting–Price Stabilization, Short Positions” and the information under the heading “Underwriting–Electronic Distribution” in each case contained in the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, the XXXXXUnderwriter Information”).. As used in this Agreement,

Appears in 1 contract

Samples: Underwriting Agreement (Home Properties Inc)

Compliance with Registration Requirements. The Registration Statement is an “automatic shelf registration statement” as defined Company meets the requirements for use of Form S-3 under Rule 405 of the 1933 Act Regulations that has been filed with the Commission not earlier than three years prior to the date hereof; and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of the 1933 Act Regulations has been received by the CompanyRegulations. Each of the Original Registration Statement and any Rule 462(b) Registration Statement and the Base Prospectus, at the respective times the Original Registration Statement, any Rule 462(b) Registration Statement and any post-effective amendments thereto became effective and as of the Representation Date, complied and comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture 1939 Act of 1939, (as amended (the “1939 Act”), defined below) and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”), and did not and as of the Representation Date and at Closing Time do not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No stop order suspending the effectiveness of the Original Registration Statement or any Rule 462(b) Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the offering of the Securities have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and any request on the part of the Commission for additional information has been complied with. The Prospectus, at the Representation Date (unless the term “Prospectus” refers to a prospectus which has been provided to the Underwriters Underwriter by the Company for use in connection with the offering of the Securities which differs from the Prospectus filed with the Commission pursuant to Rule 424(b) of the 1933 Act Regulations, in which case at the time it is first provided to the Underwriters Underwriter for such use) and at the Closing TimeTime referred to in Section 2 hereof, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the representations and warranties in this subsection (ivi) shall not apply to statements in or omissions from the Registration Statement or Prospectus made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives Xxxxxxx Xxxxx expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the Trust Indenture Act of 1939, as amended (the “1939 Act Act”) filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”).

Appears in 1 contract

Samples: Purchase Agreement (Health Care Property Investors Inc)

Compliance with Registration Requirements. (A) At the respective times the Registration Statement or any amendments thereto were filed with the Commission, (B) at the time of the most recent amendment to the Registration Statement for the purposes of complying with Section 10(a)(3) of the Securities Act (whether such amendment was by post-effective amendment, incorporated report filed pursuant to Section 13 or 15(d) of the Exchange Act or form of prospectus), (C) at any time the Company or any person acting on its behalf (within the meaning, for this clause only, of Rule 163(c)) made any offer relating to the Securities in reliance on the exemption of Rule 163 and (D) at the date hereof, the Company was and is a “well-known seasoned issuer” as defined in Rule 405. The Company meets the requirements for use of Form S-3ASR under the Securities Act, and the offering and sale of the Securities as contemplated hereby complies with, the requirements of Rule 415 under the Securities Act. The Registration Statement is an “automatic shelf registration statement” as defined under Rule 405 of and any post-effective amendments thereto were filed by the 1933 Act Regulations that has been filed Company with the Commission not earlier than three years prior to the date hereof; of this Agreement. The Registration Statement became effective under the Securities Act upon filing with the Commission. The Registration Statement is an “automatic shelf registration statement,” as defined in Rule 405, and the Securities have been and remain eligible for registration by the Company on an automatic shelf registration statement. No stop order suspending the effectiveness of the Registration Statement or any part thereof has been issued under the Securities Act and no proceedings for that purpose have been instituted or are pending or, to the knowledge of the Company, are contemplated by the Commission, and no notice of objection of the Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) of under the 1933 Securities Act Regulations has been received by the Company. Each No order preventing or suspending the use of any preliminary prospectus or the Prospectus has been issued and no proceeding for that purpose has been instituted or, to the knowledge of the Registration Statement and Company, threatened or contemplated by the Base Prospectus, at Commission or the securities authority of any jurisdiction. Any request on the part of the Commission for additional information has been complied with. At the respective times the Registration Statement and any post-effective amendments thereto became effective, (at each deemed effective date with respect to the Underwriters and as of the Representation Securities pursuant to Rule 430B(f)(2)) and at the Closing Date, complied the Registration Statement and any amendments and supplements thereto complied, complies and will comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations (including Rule 415(a) of the 1933 Act Regulations), and the Trust Indenture Act of 1939, as amended (the “1939 Act”), and the rules and regulations of the Commission under the 1939 Act (the “1939 Act Regulations”)Securities Act, and did not, does not and as of the Representation Date and at Closing Time do will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. No order suspending At the effectiveness respective times that the Registration Statement or any amendment to any of the foregoing were filed, as of the earliest time after the filing of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose or pursuant to Section 8A of the 1933 Act against the Company or related to the any other offering participant made a bona fide offer of the Securities have been instituted or are pending orwithin the meaning of Rule 164(h)(2), and at the date hereof, the Company was not and is not an “ineligible issuer” as defined in Rule 405, in each case without taking into account any determination made by the Commission pursuant to paragraph (2) of the definition of such term in Rule 405; and without limitation to the knowledge foregoing, the Company has at all relevant times met, meets and will at all relevant times meet the requirements of Rule 164 for the Company, are use of a free writing prospectus (as defined in Rule 405) in connection with the offering contemplated by hereby. The Preliminary Prospectus Supplement (including the Commission, and any request on the Base Prospectus filed as part of the Commission for additional information has been Registration Statement or any amendment thereto) complied with. The Prospectus, at when so filed in all material respects with the Representation Date (unless Securities Act and any such preliminary prospectus and the term “Prospectus” refers to a prospectus which has been provided Prospectus and any amendments or supplements thereto delivered or made available to the Underwriters by the Company for use in connection with the offering of any Securities was and will be, at the Securities which differs from time of such delivery, identical to the Prospectus electronically transmitted copies thereof filed with the Commission pursuant to Rule 424(b) XXXXX, except to the extent permitted by Regulation S-T. Each Issuer Free Writing Prospectus (as defined below), as of its issue date and as of the 1933 Act Regulationsrelevant Applicable Time and Closing Date, or until any earlier date that the issuer notified or notifies each Underwriter as described in which case at the time it is first provided to the Underwriters for such useSection 3(e) and at Closing Timehereof, did not, does not and will not (i) include any information that conflicted, conflicts or will conflict with the information contained in the Registration Statement or the Prospectus, including any document incorporated by reference therein that has not been superseded or modified or (ii) when taken together with the Prospectus, include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the . The representations and warranties in this subsection (iv) the preceding three paragraphs shall not apply to statements in or omissions from the Registration Statement Statement, or Prospectus any post-effective amendment thereto, or the Prospectus, made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use in the Registration Statement or the Prospectus or the information contained in any Statement of Eligibility and Qualification of a trustee under the 1939 Act filed as an exhibit to the Registration Statement (a “Form T-1”). For purposes of this Section 1(a), all references to the Registration Statement, any post-effective amendments thereto and the Prospectus shall be deemed to include, without limitation, any electronically transmitted copies thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis, and Retrieval system or its Interactive Data Electronic Applications system (collectively, “XXXXX”)Content.

Appears in 1 contract

Samples: Underwriting Agreement (Healthcare Trust of America Holdings, LP)

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