Investment Company Act Status. The Company is not, and as a result of and immediately upon the Closing will not be, an “investment company” or a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 39 contracts
Samples: Securities Purchase Agreement (Genta Inc De/), Securities Purchase Agreement (Genta Inc De/), Series a Convertible Preferred Stock Purchase Agreement (Options Media Group Holdings, Inc.)
Investment Company Act Status. The Company is not, and as a result of and immediately upon the Closing will not be, an “"investment company” " or a company “"controlled” " by an “"investment company,” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 10 contracts
Samples: Note Purchase Agreement (Dirt Motor Sports, Inc.), Series D Convertible Preferred Stock Purchase Agreement (BPO Management Services), Note and Warrant Purchase Agreement (Manaris Corp)
Investment Company Act Status. The Company is not, and as a result of and immediately upon the Closing will not be, an “investment company” or or, to the Company’s knowledge, a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Share Purchase Agreement (Modsys International LTD), Share Purchase Agreement (Modsys International LTD), Share Purchase Agreement (Modsys International LTD)
Investment Company Act Status. The Company is not, and as a result of the consummation of the transactions contemplated by this Agreement and immediately upon the Closing will application of the proceeds from the sale of the Securities pursuant to the Transaction Documents, shall not be, an “investment company” or a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Alternus Clean Energy, Inc.), Securities Purchase Agreement (Expion360 Inc.), Securities Purchase Agreement (Interactive Strength, Inc.)
Investment Company Act Status. The Company is not, and as a result of and immediately upon the Closing Effective Date will not be, an “investment company” or a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Private Placement Purchase Agreement (Cyclone Power Technologies Inc), Common Stock Purchase Agreement (VRDT Corp), Common Stock Purchase Agreement (Cyclone Power Technologies Inc)
Investment Company Act Status. The Company is not, and as a result of and immediately upon the each Closing will not be, an “investment company” or a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Genta Inc De/), Securities Purchase Agreement (Genta Inc De/), Securities Purchase Agreement (Genta Inc De/)
Investment Company Act Status. The Company is not, and as a result of and immediately upon the Closing will not be, an “investment company” or a company “controlled” by an “investment company,” ”, within the meaning of the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Manitex International, Inc.), Securities Purchase Agreement (Lion Biotechnologies, Inc.), Securities Purchase Agreement (Lion Biotechnologies, Inc.)
Investment Company Act Status. The Company is not, and as a result of the consummation of the transactions contemplated by this Agreement and immediately upon the Closing will application of the proceeds from the sale of the Shares shall not be, an “investment company” or a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Common Stock Purchase Agreement (Zell Credit Opportunities Side Fund, L.P.), Common Stock Purchase Agreement (Strategic Value Partners, LLC), Common Stock Purchase Agreement (Dune Energy Inc)
Investment Company Act Status. The To the knowledge of the Company, the Company is not, and as a result of and immediately upon the each Closing will not be, an “investment company” or a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 2 contracts
Samples: Subscription Agreement (CorMedix Inc.), Subscription Agreement (CorMedix Inc.)
Investment Company Act Status. The Company is not, and as a result of and immediately upon the Closing will not be, an “"investment company” " or a company “"controlled” " by an “"investment company,” ", within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Socket Communications Inc), Securities Purchase Agreement (Socket Communications Inc)
Investment Company Act Status. The Company is not, and as a result of and immediately upon the Closing will not be, be subject to registration and regulation as an “"investment company” " or a company “controlled” by an “"affiliated person" of, or "promoter" or "principal underwriter" for an "investment company,” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Common Stock and Warrant Purchase Agreement (KFX Inc), Common Stock and Warrant Purchase Agreement (KFX Inc)
Investment Company Act Status. The Company is not, and as a result of the consummation of the transactions contemplated by this Agreement and immediately upon the Closing will application of the proceeds from the sale of the Shares as set forth herein, shall not be, an “investment company” or a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Common Stock Purchase Agreement (Hermitage Offshore Services Ltd.), Common Stock Purchase Agreement (Nordic American Offshore Ltd.)
Investment Company Act Status. The Company is not, and as a result of and immediately upon the Closing will not be, an “investment company” or a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amended.. (aa) [Reserved]
Appears in 1 contract
Samples: Note Purchase Agreement (Urigen Pharmaceuticals, Inc.)
Investment Company Act Status. The Company is not, and as a result of and immediately upon the Closing will not be, required to register as an “investment company” or a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Coeur D Alene Mines Corp)
Investment Company Act Status. The Company is not, and as a result of and immediately upon the Closing will not be, an “"investment company” " or a company “"controlled” " by an “"investment company,” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company Act Status. The Company is not, and as a result of and immediately upon the Closing consummation of the transactions contemplated by the Transaction Documents will not be, be an “investment company” or a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Preferred Stock Purchase Agreement (Soundhound Ai, Inc.)
Investment Company Act Status. The Company is not, and as a ------------------------------- result of and immediately upon the Closing will not be, an “"investment company” " or a company “"controlled” " by an “"investment company,” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Note and Warrant Purchase Agreement (Charys Holding Co Inc)
Investment Company Act Status. The Company is not, and as a result of and immediately upon the Closing will not be, an “investment company” or a company “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amended.. Table of Contents
Appears in 1 contract
