Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 160 contracts
Samples: Underwriting Agreement (Si International Inc), Purchase Agreement (State National Bancshares, Inc.), Purchase Agreement (Gb&t Bancshares Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the General Disclosure Package and the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 75 contracts
Samples: Underwriting Agreement (Radian Group Inc), Underwriting Agreement (Radian Group Inc), Underwriting Agreement (Radian Group Inc)
Investment Company Act. The Company is notnot and, and upon after giving effect to the issuance offering and sale of the Securities as herein contemplated and the Private Placement Warrants and the application of the net proceeds therefrom thereof as described in the Registration Statement, the Statutory Prospectus and the Prospectus, will not be, be an "“investment company" or an entity "controlled" by an "investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 “Investment Company Act"”).
Appears in 50 contracts
Samples: Underwriting Agreement (Aspirational Consumer Lifestyle Corp. II), Underwriting Agreement (JAWS Spitfire Acquisition Corp), Underwriting Agreement (AEA-Bridges Impact Corp.)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectuses will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 49 contracts
Samples: International Purchase Agreement (Mih LTD), Purchase Agreement (99 Cents Only Store), International Purchase Agreement (Rayovac Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Statutory Prospectus and the Prospectus under “Use of Proceeds” will not be, an "“investment company" or an entity "controlled" by an "investment company" ” as such terms are term is defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 47 contracts
Samples: Purchase Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Disclosure Package and the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 31 contracts
Samples: Underwriting Agreement (Wisconsin Electric Power Co), Underwriting Agreement (Wec Energy Group, Inc.), Underwriting Agreement (Wec Energy Group, Inc.)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 29 contracts
Samples: Underwriting Agreement (Wisconsin Electric Power Co), Underwriting Agreement (Tracinda Corp), Interstate Power and Light Company (Interstate Power & Light Co)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the General Disclosure Package and the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 27 contracts
Samples: Underwriting Agreement (Finwise Bancorp), Underwriting Agreement (Merchants Bancorp), Underwriting Agreement (BayCom Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Offering Memorandum will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 26 contracts
Samples: Purchase Agreement, Purchase Agreement (Rhythms Net Connections Inc), Purchase Agreement (Bally Total Fitness Holding Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the receipt and application of the net proceeds therefrom as described in the General Disclosure Package and the Prospectus under the caption “Use Of Proceeds,” will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 24 contracts
Samples: Underwriting Agreement (Ugi Corp /Pa/), Underwriting Agreement (DENNY'S Corp), Underwriting Agreement (Immunomedics Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the General Disclosure Package and the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act")amended.
Appears in 21 contracts
Samples: Underwriting Agreement (Origin Bancorp, Inc.), Underwriting Agreement (TriState Capital Holdings, Inc.), Underwriting Agreement (TriState Capital Holdings, Inc.)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are term is defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 21 contracts
Samples: Realty Income Corp, Realty Income Corp, Purchase Agreement (Realty Income Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 “Investment Company Act"”).
Appears in 20 contracts
Samples: Underwriting Agreement (Berkshire Hills Bancorp Inc), Underwriting Agreement (Amalgamated Financial Corp.), Underwriting Agreement (Banc of California, Inc.)
Investment Company Act. The Company is not, and upon the ---------------------- issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 20 contracts
Samples: Underwriting Agreement (Merkert American Corp), Purchase Agreement (Euronet Services Inc), Purchase Agreement (Ubid Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Registration Statement, the Disclosure Package and the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act")amended.
Appears in 19 contracts
Samples: Tucson Electric Power Company (Tucson Electric Power Co), Underwriting Agreement (Tucson Electric Power Co), Underwriting Agreement (Tucson Electric Power Co)
Investment Company Act. The Company is not, and upon after giving effect to the issuance offering and sale of the Securities as herein contemplated Shares and the application of the net proceeds therefrom thereof as described in the Time of Sale Prospectus and the Prospectus will not be, required to register as an "“investment company" or an entity "controlled" by an "investment company" ” as such terms are term is defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 19 contracts
Samples: Underwriting Agreement (JIADE LTD), Underwriting Agreement (JIADE LTD), Underwriting Agreement (JIADE LTD)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "“investment company" or an entity "controlled" by an "investment company" as such terms are defined in ” within the meaning of the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 19 contracts
Samples: Underwriting Agreement (Autozone Inc), Underwriting Agreement (Autozone Inc), Underwriting Agreement (Autozone Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Underwritten Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 19 contracts
Samples: Underwriting Agreement (Cd Radio Inc), Underwriting Agreement and Terms Agreement (Avaya Inc), Terms Agreement (Sirius Satellite Radio Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 17 contracts
Samples: Purchase Agreement (Shopko Stores Inc), Purchase Agreement (Midcoast Energy Resources Inc), Underwriting Agreement (Ace LTD)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the receipt and application of the net proceeds therefrom as described in the General Disclosure Package and the Prospectus under the caption “Use of Proceeds,” will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 16 contracts
Samples: Underwriting Agreement (SiriusPoint LTD), Underwriting Agreement (Enstar Group LTD), Underwriting Agreement (Avid Bioservices, Inc.)
Investment Company Act. The Company is not, and upon the ---------------------- issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectuses will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 16 contracts
Samples: Purchase Agreement (Merkert American Corp), Purchase Agreement (Knoll Inc), International Purchase Agreement (Ixl Enterprises Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Time of Sale Information and the Prospectus will not be, an "“investment company" or an entity "controlled" by an "investment company" as such terms are defined in ” within the meaning of the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 14 contracts
Samples: Viacom Inc., Viacom Inc., Underwriting Agreement (Viacom Inc.)
Investment Company Act. The Company is not, and and, upon the issuance and sale of the Securities Notes as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectus, will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 14 contracts
Samples: Underwriting Agreement (Tampa Electric Co), Underwriting Agreement (Tampa Electric Co), Tampa Electric Co
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Notes as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 12 contracts
Samples: Underwriting Agreement (Hospitality Properties Trust), Distribution Agreement (Doral Financial Corp), Distribution Agreement (Enron Corp/Or/)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Disclosure Package and the Prospectus, will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 9 contracts
Samples: Underwriting Agreement (Arbor Realty Trust Inc), Underwriting Agreement (Arbor Realty Trust Inc), Underwriting Agreement (Arbor Realty Trust Inc)
Investment Company Act. The Company is notnot and, and upon after giving effect to the issuance offering and sale of the Securities as herein contemplated Shares and the application of the net proceeds therefrom thereof as described in the Prospectus Prospectus, will not be, be an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended amended, and the rules and regulations of the Commission thereunder (the collectively, "1940 Investment Company Act").
Appears in 9 contracts
Samples: TNS Inc, TNS Inc, Underwriting Agreement (Puget Energy Inc /Wa)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities from time to time as herein contemplated in this Agreement and in the Alternative Distribution Agreements and the application of the net proceeds Net Proceeds therefrom as described in the Registration Statement and the Prospectus will not be, an "“investment company" or an entity "controlled" by an "investment company" ” as such terms are term is defined in the Investment Company Act of 1940, as amended (the "1940 “Investment Company Act"”).
Appears in 9 contracts
Samples: Equity Distribution Agreement (Pebblebrook Hotel Trust), Equity Distribution Agreement (Pebblebrook Hotel Trust), Equity Distribution Agreement (Pebblebrook Hotel Trust)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the General Disclosure Package and the Prospectus under the caption “Use Of Proceeds,” will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 9 contracts
Samples: Underwriting Agreement (Tracon Pharmaceuticals, Inc.), Underwriting Agreement (Home Loan Servicing Solutions, Ltd.), Underwriting Agreement (Insys Therapeutics, Inc.)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus under “Use of Proceeds” will not be, an "“investment company" or an entity "controlled" by an "investment company" ” as such terms are term is defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 8 contracts
Samples: Purchase Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp), Purchase Agreement (Realty Income Corp)
Investment Company Act. The Company is notnot and, and upon after giving effect to the issuance offering and sale of the Securities as herein contemplated Shares and the application of the net proceeds therefrom thereof as described in the Prospectus Prospectus, will not be, be an "“investment company" ” or an entity "“controlled" ” by an "“investment company" as such terms are defined in ” within the meaning of the Investment Company Act of 1940, as amended amended, and the rules and regulations of the Commission thereunder (the "1940 collectively, “Investment Company Act"”).
Appears in 7 contracts
Samples: Lehman (GTCR Fund Vii Lp), Underwriting Agreement (GTCR Fund Vii Lp), Underwriting Agreement (Southern Union Co)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Convertible Preferred Shares, Series B as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ”, as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act")amended.
Appears in 7 contracts
Samples: Convertible Preferred Securities Agreement (Ecology Coatings, Inc.), Convertible Preferred Securities Agreement (Ecology Coatings, Inc.), Convertible Preferred Securities Agreement (Ecology Coatings, Inc.)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the General Disclosure Package and the Final Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 7 contracts
Samples: Underwriting Agreement (Univest Corp of Pennsylvania), Underwriting Agreement (First Niagara Financial Group Inc), Underwriting Agreement (First Niagara Financial Group Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectus, will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 7 contracts
Samples: Purchase Agreement (Delmarva Power & Light Co /De/), Purchase Agreement (Pepco Holdings Inc), Delmarva Power & Light Co /De/
Investment Company Act. The Company is not, and upon after giving effect to the issuance offering and sale of the Offered Securities as herein contemplated and the application of the net proceeds therefrom thereof as described in the Time of Sale Prospectus and the Prospectus will not be, required to register as an "“investment company" or an entity "controlled" by an "investment company" ” as such terms are term is defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 6 contracts
Samples: Underwriting Agreement (Nature Wood Group LTD), Underwriting Agreement (Nature Wood Group LTD), Underwriting Agreement (Burning Rock Biotech LTD)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectus, will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 6 contracts
Samples: Management Agreement (Gramercy Capital Corp), Radiation Therapy (Radiation Therapy Services Inc), Management Agreement (Arbor Realty Trust Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 6 contracts
Samples: Underwriting Agreement (Nextlink Communications Inc / De), Underwriting Agreement (Xo Communications Inc), Underwriting Agreement (Xo Communications Inc)
Investment Company Act. The Company is not, and upon immediately after giving effect to the issuance offering and sale of the Securities as herein contemplated Offered Shares on the date hereof and the application of the net proceeds therefrom thereof as described in the Prospectus will not be, an "“investment company" or an entity "controlled" by an "investment company" ” (as such terms are term is defined in under the Investment Company Act of 1940, as amended (the "“1940 Act"”)) that is registered or required to be registered under the 1940 Act.
Appears in 6 contracts
Samples: Underwriting Agreement (Exact Sciences Corp), Underwriting Agreement (Exact Sciences Corp), Underwriting Agreement (Exact Sciences Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectuses will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 ActACT").
Appears in 6 contracts
Samples: Purchase Agreement (Mih LTD), Purchase Agreement (Mih LTD), Purchase Agreement (Exact Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Time of Sale Prospectus and the Prospectus will not be, an "“investment company" or an entity "controlled" by an "investment company" as such terms are defined in ” within the meaning of the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 6 contracts
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Disclosure Package and the Prospectus will not be, an "“investment company" ” or an entity "a company “controlled" ” by an "“investment company" as such terms are defined in ” which is required to be registered under the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 6 contracts
Samples: Purchase Agreement (Puget Sound Energy Inc), Purchase Agreement (Puget Sound Energy Inc), Purchase Agreement (Puget Sound Energy Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the General Disclosure Package and the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act")amended.
Appears in 6 contracts
Samples: Underwriting Agreement (Veritex Holdings, Inc.), Underwriting Agreement (Spirit of Texas Bancshares, Inc.), Underwriting Agreement (Ameris Bancorp)
Investment Company Act. The Company Neither of the Companies is notand, and upon the issuance and sale of the Securities Units as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectuses, will not be, be an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 6 contracts
Samples: Purchase Agreement (Dura Pharmaceuticals Inc/Ca), International Purchase Agreement (Dura Pharmaceuticals Inc/Ca), Purchase Agreement (Dura Pharmaceuticals Inc/Ca)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act")amended.
Appears in 5 contracts
Samples: Purchase Agreement (Bally Total Fitness Holding Corp), Purchase Agreement (Bally Total Fitness Holding Corp), Purchase Agreement (Bally Total Fitness Holding Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 5 contracts
Samples: Hospitality Properties Trust, Hospitality Properties Trust, Hospitality Properties Trust
Investment Company Act. The Company is not, and upon after giving effect to the issuance offering and sale of the Securities as herein contemplated and the application of the net proceeds therefrom thereof as described in the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ”, as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act")amended.
Appears in 5 contracts
Samples: Underwriting Agreement (Tyson Foods, Inc.), Underwriting Agreement (Tyson Foods Inc), Underwriting Agreement (Tyson Foods Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Notes as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the ("1940 Act").
Appears in 5 contracts
Samples: Distribution Agreement (Sundstrand Corp /De/), Distribution Agreement (Firstar Corp /New/), Distribution Agreement (Puget Sound Energy Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Notes as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 5 contracts
Samples: Distribution Agreement (Toyota Motor Credit Corp), Distribution Agreement (Toyota Motor Credit Corp), Distribution Agreement (Toyota Motor Credit Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Pre-Pricing Prospectus and the Prospectus under the caption “Use of Proceeds,” will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 5 contracts
Samples: Underwriting Agreement (Ares Commercial Real Estate Corp), Underwriting Agreement (Ares Commercial Real Estate Corp), Underwriting Agreement (Ares Commercial Real Estate Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Notes as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 5 contracts
Samples: Distribution Agreement (Homeside Lending Inc), Underwriting Agreement (Teco Energy Inc), Purchase Agreement (Province Healthcare Co)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 “Investment Company Act"”).
Appears in 4 contracts
Samples: Underwriting Agreement (Computer Sciences Corp), Underwriting Agreement (Computer Sciences Corp), Universal Health Services Inc
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Notes as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the "1940 Act")amended.
Appears in 4 contracts
Samples: Old National Bancorp (Old National Bancorp /In/), Distribution Agreement (Old National Bancorp /In/), Ing Usa Annuity & Life Insurance Co
Investment Company Act. The Company is not, and upon the issuance and sale of the Offered Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 4 contracts
Samples: Terms Agreement (Jabil Circuit Inc), Terms Agreement (Jabil Circuit Inc), Jabil Circuit Inc
Investment Company Act. The Company is not, and upon the issuance ---------------------- and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectuses will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 4 contracts
Samples: International Purchase Agreement (Ixl Enterprises Inc), Purchase Agreement (Fox Entertainment Group Inc), International Purchase Agreement (Tuesday Morning Corp/De)
Investment Company Act. The Company is notnot and, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectus, will not be, be an "“investment company" or an entity "controlled" by an "investment company" as such terms are defined in ” under the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 4 contracts
Samples: Underwriting Agreement (FriendFinder Networks Inc.), Underwriting Agreement (FriendFinder Networks Inc.), Underwriting Agreement (FriendFinder Networks Inc.)
Investment Company Act. The Company is not, and upon ---------------------- the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 4 contracts
Samples: Purchase Agreement (Simons Stephen W), Purchase Agreement (Turner Paul H), Oratec Interventions Inc
Investment Company Act. The Company is not, not and upon the issuance and sale of the Securities Certificates as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act"). The Trust Fund is not required to be registered as an "investment company" under the 1940 Act.
Appears in 4 contracts
Samples: Pooling and Servicing Agreement (Merrill Lynch Mortgage Investors Inc), Underwriting Agreement (Mortgage Pass Through Cert Series 1998-C3), Underwriting Agreement (Commercial Mortgage Pass THR Cert Ser 1998-C2)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Final Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are term is defined in the Investment Company Act of 1940, as amended (the "1940 Investment Company Act").
Appears in 4 contracts
Samples: Cox Radio Inc, Cox Communications Inc /De/, Cox Communications Inc /De/
Investment Company Act. The Company is not, and upon the ---------------------- issuance and sale of the Underwritten Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 4 contracts
Samples: Purchase Agreement (Argyle Television Inc), Underwriting Agreement (Federal Mogul Corp), Underwriting Agreement (Autozone Inc)
Investment Company Act. The Company is not, and nor upon the issuance and sale of the Public Securities as contemplated herein contemplated and the application of the net proceeds therefrom as described in the Preliminary Prospectus, the Prospectus and the Registration Statement under the caption “Estimated Use of Proceeds”, will not the Company be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” (as such terms are defined in the Investment Company Act of 1940, as amended (amended, and the "1940 Act"rules and regulations promulgated thereunder).
Appears in 4 contracts
Samples: Underwriting Agreement (Movano Inc.), Underwriting Agreement (Movano Inc.), Underwriting Agreement (TFF Pharmaceuticals, Inc.)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Offered Shares as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act")amended.
Appears in 4 contracts
Samples: Underwriting Agreement (Double Eagle Petroleum Co), Underwriting Agreement (Parallel Petroleum Corp), Underwriting Agreement (Double Eagle Petroleum Co)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectuses will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are term is defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 4 contracts
Samples: International Purchase Agreement (Ctrip Com International LTD), Underwriting Agreement (Ctrip Com International LTD), Cox Communications Inc /De/
Investment Company Act. The Company is not, and upon immediately after giving effect to the issuance offering and sale of the Securities as herein contemplated on the date hereof and the application of the net proceeds therefrom thereof as described in the Prospectus will not be, an "“investment company" or an entity "controlled" by an "investment company" ” (as such terms are term is defined in under the Investment Company Act of 1940, as amended (the "“1940 Act"”)) that is registered or required to be registered under the 1940 Act.
Appears in 4 contracts
Samples: Underwriting Agreement (Exact Sciences Corp), Underwriting Agreement (Exact Sciences Corp), Underwriting Agreement (Exact Sciences Corp)
Investment Company Act. The Company is not, and upon the ---------------------- issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectuses will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").. --------
Appears in 4 contracts
Samples: International Purchase Agreement (Opentv Corp), International Purchase Agreement (Advanstar Inc), Purchase Agreement (Teleport Communications Group Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Offering Memorandum will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").;
Appears in 3 contracts
Samples: Purchase Agreement (Nextlink Communications LLC), Nextlink Communications LLC, Nextlink Communications Inc / De
Investment Company Act. The Company is not, and upon after giving effect to the issuance offering and sale of the Securities as herein contemplated hereunder and the application of the net proceeds therefrom from such sale as described in the Prospectus Prospectus, and for so long any Buyer holds any Securities, will not be, be an "investment company" or an entity "controlled" by an "investment company" as within the meaning of such terms are defined in term under the Investment Company Act of 1940, 1940 as amended (the "1940 Act"), and the rules and regulations of the SEC thereunder.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Adeona Pharmaceuticals, Inc.), Securities Purchase Agreement (Adeona Pharmaceuticals, Inc.), Securities Purchase Agreement (Lucas Energy, Inc.)
Investment Company Act. The Company believes that it is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectuses, will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 3 contracts
Samples: International Purchase Agreement (Iridium LLC), Purchase Agreement (Iridium LLC), Iridium LLC
Investment Company Act. The Company is not, and upon and, after giving effect to the issuance offering and sale of the Securities as herein Units contemplated hereunder and the application of the net proceeds therefrom from such sale as described in the Prospectus Prospectus, will not be, be an "“investment company" or an entity "controlled" by an "investment company" as ” within the meaning of such terms are defined in term under the Investment Company Act of 1940, as amended amended, and the rules and regulations promulgated thereunder (the "“1940 Act")”) and, prior to a Business Combination, will conduct its business in a manner so that it will not become subject to the 1940 Act.
Appears in 3 contracts
Samples: Underwriting Agreement (Trian Acquisition I Corp.), Underwriting Agreement (Trian Acquisition I Corp.), Underwriting Agreement (Trian Acquisition I Corp.)
Investment Company Act. The Company is not, and upon the issuance and sale of the Underwritten Securities as contemplated herein contemplated and in the applicable Terms Agreement and the application of the net proceeds therefrom as described in the Prospectus will not be, an "“investment company" or an entity "controlled" by an "investment company" as such terms are defined in ” within the meaning of the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 3 contracts
Samples: Underwriting Agreement (Ambac Financial Group Inc), Underwriting Agreement (Ambac Financial Group Inc), Underwriting Agreement (Ambac Financial Group Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in each of the Commitment Prospectus and the Prospectus will not be, an "investment company" or an entity "controlledaffiliated person" by of, or "promoter" or "principal underwriter" for, an "investment company" as such terms are defined in company within the meaning of the Investment Company Act of 1940, as amended (the "1940 Act")amended.
Appears in 3 contracts
Samples: Underwriting Agreement (Bidz.com, Inc.), Underwriting Agreement (Bidz.com, Inc.), Bidz.com, Inc.
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 ActACT").
Appears in 3 contracts
Samples: Purchase Agreement (Penn National Gaming Inc), Purchase Agreement (Republic Airways Holdings Inc), Purchase Agreement (Alliant Energy Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as contemplated herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 3 contracts
Samples: Underwriting Agreement (Taylor Capital Group Inc), Underwriting Agreement (Taylor Capital Group Inc), Underwriting Agreement (Emc Insurance Group Inc)
Investment Company Act. The Company is not, and upon immediately after giving effect to the issuance offering and sale of the Securities as herein contemplated Shares and the application of the net proceeds therefrom thereof as described in the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" as such terms are defined in ” within the meaning of the Investment Company Act of 1940, as amended amended, and the rules and regulations of the Commission thereunder (collectively, the "1940 “Investment Company Act"”).
Appears in 3 contracts
Samples: Sales Agreement (Solid Biosciences Inc.), Sales Agreement (Solid Biosciences Inc.), Sales Agreement (Solid Biosciences Inc.)
Investment Company Act. The Company is not, and upon the issuance and sale of the Underwritten Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity a company "controlled" by an "investment company" as such terms are defined in company within the meaning of the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 3 contracts
Samples: Underwriting Agreement (United States Cellular Corp), United States Cellular Corp, Underwriting Agreement (United States Cellular Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Trust Preferred Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 3 contracts
Samples: Purchase Agreement (Merrill Lynch Preferred Capital Trust Ii), Purchase Agreement (Ultramar Diamond Shamrock Corp), Merrill Lynch Preferred Capital Trust Iv
Investment Company Act. The Company is not, and upon the ---------------------- issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Offering Memorandum will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 3 contracts
Samples: Purchase Agreement (California Steel Industries Inc), Purchase Agreement (Transwitch Corp /De), Pogo Producing Co
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Disclosure Package and the Prospectus, will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 “Investment Company Act"”). Neither the Operating Partnership nor any of the subsidiaries of the Company is an “investment company” as defined in the Investment Company Act.
Appears in 3 contracts
Samples: Underwriting Agreement (Arbor Realty Trust Inc), Underwriting Agreement (Arbor Realty Trust Inc), Arbor Realty (Arbor Realty Trust Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Underwritten Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "“investment company" ” or an entity "a company “controlled" ” by an "investment company" as such terms are defined in company within the meaning of the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 3 contracts
Samples: Underwriting Agreement (Telephone & Data Systems Inc /De/), Underwriting Agreement (United States Cellular Corp), Telephone & Data Systems Inc /De/
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Disclosure Package and the Prospectus, will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 3 contracts
Samples: Underwriting Agreement (Autonation, Inc.), Underwriting Agreement (Autonation, Inc.), Underwriting Agreement (Autonation, Inc.)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Disclosure Package and the Final Prospectus, will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 3 contracts
Samples: Underwriting Agreement (Cytec Industries Inc/De/), Underwriting Agreement (Cytec Industries Inc/De/), Underwriting Agreement (Cytec Industries Inc/De/)
Investment Company Act. The Company is not, not and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 3 contracts
Samples: Purchase Agreement (Potomac Electric Power Co), Atlantic City Electric Co, Potomac Electric Power Co
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the General Disclosure Package and the Pre-Pricing Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 2 contracts
Samples: Underwriting Agreement (Cobiz Financial Inc), Purchase Agreement (Cobiz Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and contemplated, the application of the net proceeds therefrom as described in the Prospectus Prospectuses or consummation of the Combination will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 2 contracts
Samples: International Purchase Agreement (Integrated Electrical Services Inc), Purchase Agreement (Integrated Electrical Services Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectus, will not be, be required to register as an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 “Investment Company Act"”). Neither the Operating Partnership nor any of the subsidiaries of the Company is an “investment company” as defined in the Investment Company Act.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Arbor Realty Trust Inc), Equity Distribution Agreement (Arbor Realty Trust Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Underwritten Securities as contemplated herein contemplated and in the applicable Terms Agreement and the application of the net proceeds therefrom as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 2 contracts
Samples: Underwriting Agreement (Ambac Financial Group Inc), Ambac Financial Group Inc
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus under "Use of Proceeds" will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are term is defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 2 contracts
Samples: Realty Income Corp, Realty Income Corp
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom there-from as described in the Prospectus will not be, an "“investment company" or an entity "controlled" by an "investment company" ” as such terms are term is defined in the Investment Company Act of 1940, as amended (the "1940 Act")amended.
Appears in 2 contracts
Samples: Underwriting Agreement (Edge Petroleum Corp), Underwriting Agreement (Edge Petroleum Corp)
Investment Company Act. The Company is not, and upon the ---------------------- issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectuses will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Invest ment Company Act of 1940, as amended (the "1940 Act").
Appears in 2 contracts
Samples: Purchase Agreement (United Rentals Inc), International Purchase Agreement (United Rentals Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Pre-Pricing Prospectus and the Prospectus under the caption “Use Of Proceeds,” will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 2 contracts
Samples: Underwriting Agreement (Ares Commercial Real Estate Corp), Underwriting Agreement (Diana Containerships Inc.)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectuses will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the United States Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 2 contracts
Samples: Purchase Agreement (Tyco International LTD /Ber/), International Purchase Agreement (Tyco International LTD /Ber/)
Investment Company Act. The Company is not, and upon after giving effect to the issuance offering and sale of the Securities as herein contemplated Shares and the application of the net proceeds therefrom thereof as described in the Prospectus will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in within the meaning of the Investment Company Act of 1940, as amended amended, and the rules and regulations of the Commission thereunder (collectively, the "1940 Investment Company Act").
Appears in 2 contracts
Samples: Underwriting Agreement (Western Wireless Corp), Underwriting Agreement (Western Wireless Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Notes as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Disclosure Package and the Prospectus, will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”). Neither the Operating Partnership nor any of the subsidiaries of the Company is an “investment company” as defined in the 1940 Act.
Appears in 2 contracts
Samples: Underwriting Agreement (Arbor Realty Trust Inc), Underwriting Agreement (Arbor Realty Trust Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom from the sale of the Securities substantially as described in the Prospectus Prospectuses will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 2 contracts
Samples: Purchase Agreement (Sunstone Hotel Investors Inc), Sunstone Hotel Investors Inc
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectus, will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 2 contracts
Samples: Underwriting Agreement (Georesources Inc), Management Agreement (Gramercy Capital Corp)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectuses and the consummation of the Separation will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 2 contracts
Samples: Purchase Agreement (FMC Technologies Inc), FMC Technologies Inc
Investment Company Act. The Company is notnot and, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act")amended.
Appears in 2 contracts
Samples: Merger Agreement (First Niagara Financial Group Inc), Underwriting Agreement (First Niagara Financial Group Inc)
Investment Company Act. The Company is not, and nor upon the issuance and sale of the Public Securities as contemplated herein contemplated and the application of the net proceeds therefrom as described in the Preliminary Prospectus, the Prospectus and the Registration Statement under the caption “Use of Proceeds”, will not the Company be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” (as such terms are defined in the Investment Company Act of 1940, as amended (amended, and the "1940 Act"rules and regulations promulgated thereunder).
Appears in 2 contracts
Samples: Underwriting Agreement (Atomera Inc), Underwriting Agreement (Atomera Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectuses will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act"); the issuance and sale of the Securities as herein contemplated will not violate the 1940 Act or the rules and regulations thereunder.
Appears in 2 contracts
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectus, will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 2 contracts
Samples: Equity Distribution Agreement (Arbor Realty Trust Inc), Equity Distribution Agreement (Arbor Realty Trust Inc)
Investment Company Act. The Company is not, and upon the issuance and sale of the Securities Shares as herein contemplated and the application of the net proceeds therefrom as described in each of the Disclosure Package and the Prospectus will not be, an "“investment company" ” or an entity "“controlled" ” by an "“investment company" ” as such terms are defined in the Investment Company Act of 1940, as amended (the "“1940 Act"”).
Appears in 2 contracts
Samples: Underwriting Agreement (Tennessee Commerce Bancorp, Inc.), Underwriting Agreement (Tennessee Commerce Bancorp, Inc.)
Investment Company Act. The Company is notnot and, and upon the issuance and sale of the Securities as herein contemplated and the application of the net proceeds therefrom as described in the Prospectus Prospectus, will not be, an "investment company" or an entity "controlled" by an "investment company" as such terms are defined in the Investment Company Act of 1940, as amended (the "1940 Act").
Appears in 2 contracts
