Investment Company. The Company is not, and immediately after receipt of payment for the Securities will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 164 contracts
Samples: Strata Purchase Agreement (Clean Vision Corp), Strata Purchase Agreement (Foxo Technologies Inc.), Strata Purchase Agreement (Specificity, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Securities, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 40 contracts
Samples: Securities Purchase Agreement (NeuroSense Therapeutics Ltd.), Form of Securities Purchase Agreement (NeuroSense Therapeutics Ltd.), Securities Purchase Agreement (Vaxart, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Purchase Shares will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 25 contracts
Samples: Purchase Agreement (Berkshire Grey, Inc.), Purchase Agreement (Lightning eMotors, Inc.), Purchase Agreement (Tonix Pharmaceuticals Holding Corp.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Securities, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 21 contracts
Samples: Securities Purchase Agreement (Kaixin Auto Holdings), Securities Purchase Agreement (Alpha Teknova, Inc.), Securities Purchase Agreement (Alpha Teknova, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 19 contracts
Samples: Securities Purchase Agreement (Iterum Therapeutics PLC), Securities Purchase Agreement (Nabriva Therapeutics PLC), Securities Purchase Agreement (Iterum Therapeutics PLC)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Securities, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 14 contracts
Samples: Securities Purchase Agreement (Professional Diversity Network, Inc.), Securities Purchase Agreement (Professional Diversity Network, Inc.), Securities Purchase Agreement (Tellurian Inc. /De/)
Investment Company. The Company is notnot and, and immediately after receipt of payment for the Securities Securities, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 13 contracts
Samples: Securities Purchase Agreement (Neptune Wellness Solutions Inc.), Securities Purchase Agreement (Neptune Wellness Solutions Inc.), Securities Purchase Agreement (Neptune Wellness Solutions Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares and Warrants, will not be, be or be an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become subject to the Investment Company Act of 1940, as amended.
Appears in 12 contracts
Samples: Securities Purchase Agreement (Blue Ridge Bankshares, Inc.), Securities Purchase Agreement (Cellectar Biosciences, Inc.), Securities Purchase Agreement (Delcath Systems, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”).
Appears in 12 contracts
Samples: Purchase Agreement (HTG Molecular Diagnostics, Inc), Purchase Agreement (Kempharm, Inc), Purchase Agreement (Genocea Biosciences, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares and Warrants, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become subject to the Investment Company Act of 1940, as amended.
Appears in 12 contracts
Samples: Securities Purchase Agreement (Anthera Pharmaceuticals Inc), Securities Purchase Agreement (aTYR PHARMA INC), Securities Purchase Agreement (Aveo Pharmaceuticals Inc)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares, will not be, be or be an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become subject to the Investment Company Act of 1940, as amended.
Appears in 10 contracts
Samples: Securities Purchase Agreement (Cidara Therapeutics, Inc.), Securities Purchase Agreement (Unicycive Therapeutics, Inc.), Share Purchase Agreement
Investment Company. The Company is not, and immediately after receipt of payment for the Securities will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amendedAct.
Appears in 10 contracts
Samples: Subscription Agreement (Anthera Pharmaceuticals Inc), Subscription Agreement (Cti Biopharma Corp), Form of Securities Purchase Agreement (Cell Therapeutics Inc)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares and Warrants, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 10 contracts
Samples: Form of Subscription Agreement (KalVista Pharmaceuticals, Inc.), Subscription Agreement, Subscription Agreement (ARCA Biopharma, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 9 contracts
Samples: Securities Purchase Agreement (Vaxart, Inc.), Share Purchase Agreement (Molecular Templates, Inc.), Share Purchase Agreement (Wave Life Sciences Ltd.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become subject to the Investment Company Act of 1940, as amended.
Appears in 8 contracts
Samples: Stock Purchase Agreement (Fate Therapeutics Inc), Stock Purchase Agreement (Fate Therapeutics Inc), Stock Purchase Agreement
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Securities, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 7 contracts
Samples: Securities Purchase Agreement (AgEagle Aerial Systems Inc.), Securities Purchase Agreement (AgEagle Aerial Systems Inc.), Form of Securities Purchase Agreement (Sol-Gel Technologies Ltd.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities will not be, an “investment company” or an “affiliated person” of, or “promoter” or “principal underwriter” for an investment company, within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission promulgated thereunder.
Appears in 7 contracts
Samples: Securities Purchase Agreement (CervoMed Inc.), Securities Purchase Agreement (CervoMed Inc.), Securities Purchase Agreement (Nektar Therapeutics)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 7 contracts
Samples: Securities Purchase Agreement (PLBY Group, Inc.), Underwriting Agreement (Global Self Storage, Inc.), Stock Purchase Agreement (Kingsway Financial Services Inc)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares will not be, an “investment company” or an “affiliated person” of, or “promoter” or “principal underwriter” for an investment company, within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission promulgated thereunder.
Appears in 6 contracts
Samples: Stock Purchase Agreement (Erasca, Inc.), Stock Purchase Agreement (Oric Pharmaceuticals, Inc.), Securities Purchase Agreement (Relay Therapeutics, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Securities, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended. As long as the Warrants remain outstanding, the Company shall use its reasonable best efforts to conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Virpax Pharmaceuticals, Inc.), Securities Purchase Agreement (Surrozen, Inc./De), Securities Purchase Agreement (Aspira Women's Health Inc.)
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities Securities, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Underwriting Agreement (Ceres, Inc.), Underwriting Agreement (Ceres, Inc.), Underwriting Agreement (Ceres, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Securities, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” or an “affiliated person” as such terms are defined in the Investment Company Act of 1940, as amended.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Eos Energy Enterprises, Inc.), Securities Purchase Agreement (Eos Energy Enterprises, Inc.), Securities Purchase Agreement (Eos Energy Enterprises, Inc.)
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities Securities, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Securities Purchase Agreement (TOP Financial Group LTD), Securities Purchase Agreement (Arqit Quantum Inc.), Securities Purchase Agreement (Nano-X Imaging Ltd.)
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Securities Purchase Agreement (In8bio, Inc.), Securities Purchase Agreement (Alimera Sciences Inc), Securities Purchase Agreement (Alimera Sciences Inc)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Securities, will not be, be an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Epicept Corp), Security Purchase and Tender Offer Agreement (General Employment Enterprises Inc), Securities Purchase Agreement (Epicept Corp)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Public Securities, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Underwriting Agreement (Chromocell Therapeutics Corp), Underwriting Agreement (Chromocell Therapeutics Corp), Underwriting Agreement (Chromocell Therapeutics Corp)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares and Warrants, will not be, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 4 contracts
Samples: Epicept Corp, Epicept Corp, Epicept Corp
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities Securities, and application of the proceeds as contemplated hereunder, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Outlook Therapeutics, Inc.), Securities Purchase Agreement (Outlook Therapeutics, Inc.), Securities Purchase Agreement (Outlook Therapeutics, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Securities, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended.. Cell Therapeutics, Inc.
Appears in 3 contracts
Samples: Cell Therapeutics Inc, Cell Therapeutics Inc, Cell Therapeutics Inc
Investment Company. The Company is not, and immediately after receipt of payment for the Securities will not be, an “investment company” within or a company that is “controlled” by an “investment company” as such terms are defined in the meaning Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Mawson Infrastructure Group Inc.), Securities Purchase Agreement (Mawson Infrastructure Group Inc.), Securities Purchase Agreement (Mawson Infrastructure Group Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Notes and Warrants, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become subject to the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Mri Interventions, Inc.), Securities Purchase Agreement (Tengion Inc), Securities Purchase Agreement (Tengion Inc)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Securities, will not bebe an “investment company,” an affiliate of an “investment company,” a company controlled by an “investment company” or an “affiliated person” of, or “promoter” or “principal underwriter” for, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Streamline Health Solutions Inc.), Securities Purchase Agreement (Ribbon Communications Inc.), Securities Purchase Agreement (Ribbon Communications Inc.)
Investment Company. The Company is not, and immediately after receipt of payment the payments for the Securities Shares will not be, an “investment company” within the meaning of such term under the Investment Company Act of 1940, as amended1940 and the rules and regulations of the SEC thereunder.
Appears in 3 contracts
Samples: Stock Purchase Agreement (Conceptus Inc), Stock Purchase Agreement (Conceptus Inc), Stock Purchase Agreement (Conceptus Inc)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amendedAct.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Mastech Digital, Inc.), Securities Purchase Agreement (Mastech Digital, Inc.), Subscription Agreement (ExOne Co)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Purchase Price will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Convertible Note Purchase Agreement (Global Seed Corp), Convertible Note Purchase Agreement (Gridsum Holding Inc.), Convertible Note Purchase Agreement (FutureX Innovation SPC)
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (VIQ Solutions Inc.), Securities Purchase Agreement, Securities Purchase Agreement
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Securities, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended. As long as the Pre-Funded Warrants remain outstanding, the Company shall use its reasonable best efforts to conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Talphera, Inc.), Securities Purchase Agreement (Talphera, Inc.), Securities Purchase Agreement (Aspira Women's Health Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Securities, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amendedAct.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Cell Therapeutics Inc), Securities Purchase Agreement (Cell Therapeutics Inc), Securities Purchase Agreement (Cell Therapeutics Inc)
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities Shares, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Arqit Quantum Inc.), Securities Purchase Agreement (Great Ajax Corp.), Securities Purchase Agreement (Ellington Financial Inc.)
Investment Company. The Company is not, and immediately after the receipt of payment for the Securities proceeds from the sale of the Shares hereunder will not be, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Preferred Stock Purchase Agreement (Avenue a Inc), Series B Preferred Stock Purchase Agreement (Flashcom Inc), Preferred Stock Purchase Agreement (Par Pharmaceutical Companies, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities will not beSecurities, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Kartoon Studios, Inc.), Securities Purchase Agreement (Kartoon Studios, Inc.), Securities Purchase Agreement (RVL Pharmaceuticals PLC)
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities Securities, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company has conducted its business in a manner so that it is not an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Toughbuilt Industries, Inc), Securities Purchase Agreement (Toughbuilt Industries, Inc)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Securities, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become subject to the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Gemphire Therapeutics Inc.), Securities Purchase Agreement (Wheeler Real Estate Investment Trust, Inc.)
Investment Company. The Company is not, and immediately after receipt the conclusion of payment for the Securities this Offering will not bebecome, an “investment company” within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 2 contracts
Samples: Subscription Agreement (Biotricity Inc.), Subscription Agreement (Biotricity Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (EverQuote, Inc.), Securities Purchase Agreement (Senseonics Holdings, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares will not be, an “investment company” within the meaning of the United States Investment Company Act of 1940, as amended. The Company currently intends to conduct its business in a manner so that it will not be required to register as an “investment company” under the United States Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Draganfly Inc.), Equity Distribution Agreement
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities will not be, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (FSD Pharma Inc.), Securities Purchase Agreement (FSD Pharma Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Subscriber Shares, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Operating Agreement (EG Acquisition Corp.), Subscription Agreement (CF Acquisition Corp. VI)
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities Acquired Shares will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Investment Agreement (Rare Element Resources LTD), Investment Agreement (Synchron)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities proceeds from issuance of the Notes will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Convertible Note Purchase Agreement (LexinFintech Holdings Ltd.), Convertible Note Purchase Agreement (Pacific Alliance Group LTD)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities will not be, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Purchase Agreement (Cannapharmarx, Inc.), Purchase Agreement (Galaxy Next Generation, Inc.)
Investment Company. The Company is notnot and, and immediately after receipt of payment for the Securities Shares and Warrants, will not be, be an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become subject to the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Q BioMed Inc.), Securities Purchase Agreement (Q BioMed Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities giving effect to any Advance will not be, an “"investment company” " within the meaning of the United States Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Credit Agreement (Cordant Technologies Inc), Credit Agreement (Cordant Technologies Inc)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares and Warrants, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Investor Shares, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company intends to conduct its business in a manner so that it will not become subject to the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Western Alliance Bancorporation)
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities will not beand the anticipated use of proceeds therefrom, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Very Good Food Co Inc.)
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities Shares will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Investment Company. The Company is not, and immediately after the issuance and sale of the Purchased Shares and receipt of payment for the Securities therefor will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Underwriting Agreement (Nephros Inc)
Investment Company. The Company is notnot and, and immediately after receipt of payment for the Securities Securities, will not be, be an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an "investment company" subject to registration under the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is notnot and, and immediately after receipt of payment for the Securities Securities, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Preferreds, Warrants and First Closing Warrants will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission thereunder.
Appears in 1 contract
Samples: Securities Purchase Agreement (Z Trim Holdings, Inc)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares, Warrants and Prefunded Warrants, will not be, be or be an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become subject to the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Liminal BioSciences Inc.)
Investment Company. The Company is notnot and, and immediately after receipt of payment for the Securities Shares and Warrants, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become subject to the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Mri Interventions, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Purchased Securities will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become subject to the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Registration Rights Agreement (Vitesse Semiconductor Corp)
Investment Company. The Company is not, and immediately after receipt of the payment for the Securities Shares will not be, an “investment company” within the meaning of such term under the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 1 contract
Investment Company. The Company is not, and immediately after receipt issuance of payment for the Securities Shares will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become subject to the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Backstop Securities Agreement (Rehabcare Group Inc)
Investment Company. The Company is notnot and, and immediately after receipt of payment for giving effect to the Securities Transactions, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 1 contract
Samples: Indenture (TimkenSteel Corp)
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities Securities, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Samples: Emisphere Technologies Inc
Investment Company. The Company is not, and immediately after receipt the issuance of payment for the Securities Exchanged Shares will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.. (v)
Appears in 1 contract
Investment Company. The Company is not, and immediately after receipt of payment for the Securities proceeds of the issuance of the Purchased Shares will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company is not 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 1 contract
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities Shares will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Stock Purchase Agreement (InvenTrust Properties Corp.)
Investment Company. The Company Corporation is not, and immediately after receipt of payment for the Securities Shares, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Corporation shall conduct its business in a manner so that it will not become subject to the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Western Alliance Bancorporation)
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities Securities, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Cell Therapeutics Inc
Investment Company. The Company is not, and immediately after the issuance and sale of the Purchased Shares and receipt of payment for the Securities therefor will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.. (v)
Appears in 1 contract
Investment Company. The Company is not, and immediately after receipt of payment for the Securities shares of Preferred Stock, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities will not be, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Hollywood Media Corp)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Notes will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Convertible Note Purchase Agreement (Bitauto Holdings LTD)
Investment Company. The Company is not, and immediately after receipt giving effect to the issuance of payment for the Securities Subscription Shares pursuant to this Agreement will not be, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities Shares will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amendedamended (the “Investment Company Act”). The Company shall conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Samples: Subscription Agreement (Viridian Therapeutics, Inc.\DE)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares, will not be, an “investment company” within the meaning of such term under the U.S. Investment Company Act of 1940, as amended, and the rules and regulations of the SEC thereunder.
Appears in 1 contract
Samples: Stock Purchase Agreement (Natures Sunshine Products Inc)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Note Amount, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Note Purchase Agreement (Roth CH Acquisition III Co)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares, will not be, be or be an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Stock Purchase Agreement (Mirna Therapeutics, Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities New Shares will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Infinity Pharmaceuticals, Inc.)
Investment Company. The Company is not, and immediately after upon receipt by the Company of payment for the Securities proceeds from the sale of Commercial Paper Notes the Company will not bethereby become, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Letter of Credit Agreement (Hosokawa Micron International Inc)
Investment Company. The Company is not, not and immediately after receipt of payment for the Securities Public Shares will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become an “investment company” subject to registration under the Investment Company Act of 1940, as amended.
Appears in 1 contract
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares to be sold by it will not be, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amendedamended (the "Investment Company Act"), and will conduct its business in a manner so that it will not become subject to the Investment Company Act.
Appears in 1 contract
Samples: Entegris Inc
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares and Warrants, will not be, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Epicept Corp
Investment Company. The Company is not, and immediately after receipt of payment for the Securities Shares and Pre-Funded Warrants, will not be, be an “investment company,” within the meaning of as such term is defined in the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Denali Therapeutics Inc.)
Investment Company. The Company is not, and immediately after receipt of payment for the Securities shares of Preferred Stock, will not be, be an “investment company” within the meaning of the Investment Company Act of 1940, as amended. The Company shall conduct its business in a manner so that it will not become subject to the Investment Company Act of 1940, as amended.
Appears in 1 contract
Samples: Securities Purchase Agreement (Wheeler Real Estate Investment Trust, Inc.)
