No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company.
Appears in 1819 contracts
Samples: Securities Purchase Agreement (Signing Day Sports, Inc.), Securities Purchase Agreement (Hempacco Co., Inc.), Securities Purchase Agreement (INVO Bioscience, Inc.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.
Appears in 216 contracts
Samples: Securities Purchase Agreement (SusGlobal Energy Corp.), Securities Purchase Agreement (Tribal Rides International Corp.), Securities Purchase Agreement (Hammer Fiber Optics Holdings Corp)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “Investment Company”"INVESTMENT COMPANY"). The Company is not controlled by an Investment Company.
Appears in 91 contracts
Samples: Securities Purchase Agreement (QPC Lasers), Securities Purchase Agreement (QPC Lasers), Securities Purchase Agreement (BioMETRX)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be be, an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company.
Appears in 34 contracts
Samples: Common Stock and Warrant Purchase Agreement, Securities Purchase Agreement (Vet Online Supply Inc), Securities Purchase Agreement (Carolco Pictures, Inc.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be be, an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.
Appears in 18 contracts
Samples: Securities Purchase Agreement (Vet Online Supply Inc), Securities Purchase Agreement (Pura Naturals, Inc.), Securities Purchase Agreement (Cannasys Inc)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” required " subject to be registered under the registration requirements of, or regulation as an investment company under, the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company1940, as amended.
Appears in 12 contracts
Samples: Stock Purchase Agreement (Liberty Media Corp /De/), Agreement and Plan of Merger (Liberty Media Corp /De/), Agreement and Plan of Merger (Wink Communications Inc)
No Investment Company. The Company is not, to its knowledge, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company.
Appears in 10 contracts
Samples: Securities Purchase Agreement (BOQI International Medical, Inc.), Securities Purchase Agreement (BOQI International Medical, Inc.), Securities Purchase Agreement (BOQI International Medical, Inc.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities Shares and the Warrant as contemplated by this Agreement will not be be, an “"investment company” " required to be registered under the Investment Company Act of 1940 1940, as amended (an “"Investment Company”"). The Company is not controlled by an Investment Company.
Appears in 7 contracts
Samples: Securities Purchase Agreement (Protocall Technologies Inc), Securities Purchase Agreement (Protocall Technologies Inc), Securities Purchase Agreement (Protocall Technologies Inc)
No Investment Company. The Company is notnot an "investment company" subject to the registration requirements of, and upon the issuance and sale of the Securities regulation as contemplated by this Agreement will not be an “investment company” required to be registered under company under, the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company1940, as amended.
Appears in 6 contracts
Samples: Agreement and Plan of Merger (Ascent Entertainment Group Inc), Agreement and Plan of Merger (Ascent Entertainment Group Inc), Agreement and Plan of Merger (Ascent Entertainment Group Inc)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be be, an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “Investment Company”"INVESTMENT COMPANY"). The Company is not controlled by an Investment Company.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Alternative Construction Company, Inc.), Securities Purchase Agreement (Alternative Construction Company, Inc.), Securities Purchase Agreement (Ener1 Holdings Inc)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement Agreement, will not be an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Max Sound Corp), Securities Purchase Agreement (Max Sound Corp), Securities Purchase Agreement (Max Sound Corp)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities Shares and Warrants as contemplated by this Agreement will not be be, an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “Investment Company”"INVESTMENT COMPANY"). The Company is not controlled by an Investment Company.
Appears in 5 contracts
Samples: Common Stock and Warrant Purchase Agreement (Adventrx Pharmaceuticals Inc), Common Stock and Warrant Purchase Agreement (Adventrx Pharmaceuticals Inc), Common Stock and Warrant Purchase Agreement (Adventrx Pharmaceuticals Inc)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” required to be registered " as defined under the Investment Company Act of 1940 (an “Investment Company”"INVESTMENT COMPANY"). The Company is not controlled by an Investment Company.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Visijet Inc), Securities Purchase Agreement (Visijet Inc), Securities Purchase Agreement (Sinofresh Healthcare Inc)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement and the Certificate of Designation will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Semco Energy Inc), Securities Purchase Agreement (Eglobe Inc), Securities Purchase Agreement (Marketing Services Group Inc)
No Investment Company. The Company Borrower is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment Company”). The Company Borrower is not controlled by an Investment Company.
Appears in 4 contracts
Samples: Securities Purchase Agreement (SMX (Security Matters) Public LTD Co), Securities Purchase Agreement (Bruush Oral Care Inc.), Securities Purchase Agreement (ETAO International Co., Ltd.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company1940.
Appears in 4 contracts
Samples: Securities Purchase Agreement (GPS Industries, Inc.), Securities Purchase Agreement (Across America Real Estate Corp), Securities Purchase Agreement (BOCO Investments LLC)
No Investment Company. The Company is not, and upon the issuance and sale of the Purchased Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.
Appears in 3 contracts
Samples: Securities Purchase Agreement (World Waste Technologies Inc), Securities Purchase Agreement (World Waste Technologies Inc), Securities Purchase Agreement (World Waste Technologies Inc)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement and the Warrants will not be be, an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Superconductor Technologies Inc), Securities Purchase Agreement (Biospherics Inc), Securities Purchase Agreement (Superconductor Technologies Inc)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities Shares as contemplated by this Agreement will not be an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company.
Appears in 3 contracts
Samples: Purchase Agreement (Blacksands Petroleum, Inc.), Purchase Agreement (Pegasi Energy Resources Corporation.), Purchase Agreement (Pegasi Energy Resources Corporation.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “investment company” required to be registered as defined under the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company.
Appears in 3 contracts
Samples: Securities Purchase Agreement (China Green Creative, Inc.), Securities Purchase Agreement (Main Street Restaurant Group, Inc.), Note Purchase Agreement (Advanced Growing Systems, Inc.)
No Investment Company. The Company is not, and upon up the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Aja Cannafacturing, Inc.), Securities Purchase Agreement (Aja Cannafacturing, Inc.), Securities Purchase Agreement (IDS Industries, Inc.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities Common Stock as contemplated by this Agreement will not be be, an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “Investment Company”"INVESTMENT COMPANY"). The Company is not controlled by an Investment Company.
Appears in 2 contracts
Samples: Stock Purchase Agreement (J Net Enterprises Inc), Stock Purchase Agreement (J Net Enterprises Inc)
No Investment Company. The Company is not, and upon the issuance and --------------------- sale of the Securities as contemplated by this Agreement and the Certificate of Designation will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 1940, as amended (an “"Investment Company”"). The To the knowledge of the Company, the Company is not controlled "controlled" (as such term is defined in Rule 405 promulgated under the 0000 Xxx) by an Investment Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Atsi Communications Inc/De), Securities Purchase Agreement (Atsi Communications Inc/De)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be be, an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company. z) No “Shell”. The Company is not, and has not at any time previously been a Shell Company, as defined in Rule 144.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Force Protection Video Equipment Corp.), Securities Purchase Agreement (Force Protection Video Equipment Corp.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be be, an “investment company” within the meaning of, and required to be registered under under, the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Liquidmetal Technologies Inc), Securities Purchase Agreement (FNDS3000 Corp)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment CompanyINVESTMENT COMPANY”). The Company is not controlled by an Investment Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Callisto Pharmaceuticals Inc), Securities Purchase Agreement (Siricomm Inc)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company.. z.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Minerco Resources, Inc.), Securities Purchase Agreement (Minerco Resources, Inc.)
No Investment Company. The Company is not, and upon the issuance --------------------- and sale of the Securities as contemplated by this Agreement and the Certificate of Designation will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Storage Computer Corp), Securities Purchase Agreement (Ashton Technology Group Inc)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement and the Certificates of Designation will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “Investment Company”"INVESTMENT COMPANY"). The Company is not controlled by an Investment Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Pharmaprint Inc), Securities Purchase Agreement (Storage Computer Corp)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement and the Certificate of Designation will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “Investment Company”"INVESTMENT COMPANY"). The Company is not controlled by an Investment Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Eglobe Inc), Securities Purchase Agreement (Tricord Systems Inc /De/)
No Investment Company. The Company is not, and upon the issuance --------------------- and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.
Appears in 2 contracts
Samples: Securities Exchange Agreement (Ashton Technology Group Inc), Securities Purchase Agreement (Roanoke Technology Corp)
No Investment Company. The Company is not, and upon the issuance --------------------- and sale of the Securities as contemplated by this Agreement and the Warrants will not be be, an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Aastrom Biosciences Inc), Securities Purchase Agreement (Aastrom Biosciences Inc)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Max Sound Corp), Securities Purchase Agreement (NYXIO TECHNOLOGIES Corp)
No Investment Company. The Company is not, and upon the ----------------------- issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “Investment Company”"INVESTMENT COMPANY"). The Company is not controlled by an Investment Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Pediatric Prosthetics Inc), Securities Purchase Agreement (World Golf League Inc)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment Company”). The Company”).The Company is not controlled by an Investment Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Lingerie Fighting Championships, Inc.), Securities Purchase Agreement (Lingerie Fighting Championships, Inc.)
No Investment Company. The Company is not, and --------------------- upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Med Gen Inc), Securities Purchase Agreement (Med Gen Inc)
No Investment Company. The Company is not, and upon the --------------------- issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Airtech International Group Inc), Securities Purchase Agreement (Epicus Communications Group Inc)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.. z.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Global Earth Energy, Inc.), Securities Purchase Agreement (Zaldiva Inc)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.. v.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Pura Naturals, Inc.), Securities Purchase Agreement (Pura Naturals, Inc.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities Offered Units as contemplated by this Agreement will not be an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Arkados Group, Inc.), Securities Purchase Agreement (Arkados Group, Inc.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment investment Company”). The Company is not controlled by an Investment Company.
Appears in 1 contract
No Investment Company. The Neither the Company is notnor any Subsidiary is, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be be, an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment Company”). The To the best of the Company’s knowledge, the Company is not controlled by an Investment Company.
Appears in 1 contract
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be he an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Camelot Entertainment Group, Inc.)
No Investment Company. The Company is not, and upon the issuance and --------------------- sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.
Appears in 1 contract
No Investment Company. The Company Xxxxxx is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company Xxxxxx is not controlled by an Investment Company.
Appears in 1 contract
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement Agreement, will not be an “investment company” Investment Company required to be registered under the Investment Company Act of 1940 (an “Investment Company”)1940. The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Convertible Note Purchase Agreement (MINERALRITE Corp)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement and the Warrants will not be be, an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “Investment Company”"INVESTMENT COMPANY"). The Company is not controlled by an Investment Company.
Appears in 1 contract
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement Agreement, the Debentures, the Warrants and the Certificate of Designation will not be be, an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “Investment Company”"INVESTMENT COMPANY"). The Company is not controlled by an Investment Company.
Appears in 1 contract
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be be, an “investment company” required to be registered under the Investment Company Act of 1940 1940, as amended (an “Investment Company”). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (HydroPhi Technologies Group, Inc.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities Shares as contemplated by this Agreement will not be an “"investment company” required to be registered " as defined under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Stock Purchase Agreement (Granite City Food & Brewery LTD)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment Company”” ). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Roanoke Technology Corp)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” required to be registered " as defined under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Provectus Pharmaceuticals Inc)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “investment company” entity required to be registered under the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Note Purchase Agreement (Cannabis Bioscience International Holdings, Inc.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be be, an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment Company”). The To the best of its Knowledge, the Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (VirtualScopics, Inc.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.. I.
Appears in 1 contract
Samples: Securities Purchase Agreement (Bare Metal Standard Inc.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act Company, except with the prior written consent of 1940 (an “Investment Company”). The Company is not controlled by an Investment Companythe Buyer.
Appears in 1 contract
Samples: Series G Preferred Stock Purchase Agreement (Guided Therapeutics Inc)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement and the consummation of the transactions contemplated by the Other Investment Documents (as defined in Section 6(b)(ii) below)) will not be be, an “investment company” within the meaning of, and required to be registered under under, the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company.
Appears in 1 contract
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement and the Warrants will not be be, an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company. 2.
Appears in 1 contract
Samples: Exhibit 4 Securities Purchase Agreement (Hillman Co)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “investment company” company required to be registered under the Investment Company Act of 1940 (an “Investment Company”Company ). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Palomar Enterprises Inc)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities Purchased Shares as contemplated by this Agreement will not be be, an “investment company” required to be registered under the Investment Company Act of 1940 1940, as amended (an “Investment Company”). The Company , and is not controlled by an Investment CompanyCompany or subject to regulation under such Act.
Appears in 1 contract
No Investment Company. The Company is not, and upon the --------------------- issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “Investment Company”"INVESTMENT COMPANY"). The Company is not controlled by an Investment Company.
Appears in 1 contract
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement Agreement, the Certificate of Designation and the Warrants will not be be, an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “Investment Company”"INVESTMENT COMPANY"). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Superconductor Technologies Inc)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities Shares as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Preferred Stock Purchase Agreement (Gift Liquidators Inc)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment an“Investment Company”). The Company is not controlled by an Investment Company.
Appears in 1 contract
No Investment Company. The Company is not, and upon the issuance and sale of the Securities Common Stock as contemplated by this Agreement will not be an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Subscription Agreement (Rubicon Technologies, Inc.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement and the Debentures will not be an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company.
Appears in 1 contract
No Investment Company. The Company is not, and upon the issuance and sale of the Securities Bonds as contemplated by this Agreement will not be an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment Company”’’). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Bond Purchase Agreement (Leader Capital Holdings Corp.)
No Investment Company. The Company is not, and upon the issuance and ----------------------- sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “Investment Company”"INVESTMENT COMPANY"). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Marketcentral Net Corp)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement and the consummation of the transactions contemplated by the Other Purchase Agreements (as defined in Section 6(a)(3) below)) will not be be, an “investment company” within the meaning of, and required to be registered under under, the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company.
Appears in 1 contract
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “Investment Company”"INVESTMENT COMPANY"). The Company is not controlled by an Investment Company.
Appears in 1 contract
No Investment Company. The Company is not, and upon the issuance and sale of the Securities Notes as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”''). The Company is not controlled by an Investment Company.
Appears in 1 contract
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The An Investment Company is does not controlled by an Investment control the Company.
Appears in 1 contract
Samples: Stock Purchase Agreement (Commercial Consolidators Corp)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be be, an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company.. SPA - NGTF, Tl, 2017-03-16
Appears in 1 contract
Samples: Securities Purchase Agreement (NightFood Holdings, Inc.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not hot controlled by an Investment Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Alkame Holdings, Inc.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities Debenture as contemplated by this Agreement will not be an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company.
Appears in 1 contract
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.. ____________ ____________ Initials Initials
Appears in 1 contract
Samples: Securities Purchase Agreement (Traceguard Technologies, Inc.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities Conversion Stock as contemplated by this Agreement Note will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company Maker is not controlled by an Investment Company.
Appears in 1 contract
Samples: Severance and Release Agreement (Aja Cannafacturing, Inc.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 i940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Wisdom Homes of America, Inc.)
No Investment Company. The Company is not, and upon the issuance --------------------- and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “Investment Company”"INVESTMENT COMPANY"). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Mt Ultimate Healthcare Corp)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “''Investment Company”"). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Guided Therapeutics Inc)
No Investment Company. The Company is not, and upon --------------------- the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.
Appears in 1 contract
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement and the consummation of the transactions contemplated by the Sherington Purchase Agreement (as defined in Section 6(a) below)) will not be be, an “investment company” within the meaning of, and required to be registered under under, the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company.
Appears in 1 contract
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”''). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Vape Holdings, Inc.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as Common Stock contemplated by this Agreement will not be an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company.
Appears in 1 contract
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement SPA will not be an “investment company” company required to be registered under the Investment Company Act of 1940 (an “Investment Company”)1940. The Company is not controlled by an Investment Companyinvestment company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Green Technology Solutions, Inc.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities Units as contemplated by this Agreement will not be an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Unit Purchase Agreement (Tactical Air Defense Services, Inc.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Egpi Firecreek, Inc.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement Agreement, the Amendment and the Warrants will not be be, an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “Investment Company”"INVESTMENT COMPANY"). The Company is not controlled by an Investment Company.
Appears in 1 contract
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.. ___________ __________ Initials Initials
Appears in 1 contract
Samples: Securities Purchase Agreement (Last Mile Logistics Group, Inc.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities Units as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Series a Unit Purchase Agreement (Vsus Technologies Inc)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement and the Warrants, and the application of the proceeds therefrom, will not be be, an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Superconductor Technologies Inc)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company.. Securities Exchange Agreement Exhibit 10
Appears in 1 contract
Samples: Security Agreement (Abakan, Inc)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities Shares as contemplated by this Agreement will not be an “investment company” required to be registered as defined under the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company.
Appears in 1 contract
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “Investment CompanyINVESTMENT COMPANY”). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Commercialization Agreement (Patriot Scientific Corp)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be be, an “investment company” required to be registered under the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (FiscalNote Holdings, Inc.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”)"]. The Company is not controlled by an Investment Company.
Appears in 1 contract
No Investment Company. The Company is not, and upon the issuance and sale of the Securities Series C Preferred Units as contemplated by this Agreement will not be be, an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “Investment Company”"INVESTMENT COMPANY"). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Preferred Unit Subscription Agreement (Alkermes Inc)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” " required to be registered under the Investment Company Act of 1940 (an “"Investment Company”" ). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Securitiespurchase Agreement (Aim Exploration Inc.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “investment 13 company” required to be registered under the Investment Company Act of 1940 (an “Investment Company”). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Twentyfour/Seven Ventures, Inc.)
No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be an “"investment company” '' required to be registered under the Investment Company Act of 1940 (an “"Investment Company”"). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Alkame Holdings, Inc.)
