No Investment Company. Neither the Company nor any of its subsidiaries is, and upon the offering of the Shares as herein contemplated will 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 10 contracts
Samples: Equity Distribution Agreement (Affiliated Managers Group, Inc.), Equity Distribution Agreement (Affiliated Managers Group, Inc.), Equity Distribution Agreement (Affiliated Managers Group, Inc.)
No Investment Company. Neither the Company nor any of its subsidiaries Subsidiaries is, and upon the offering issuance and sale of the Shares Securities as herein contemplated by this Agreement, will be, an “investment company” or an entity “controlled” by be an “investment company” as such terms are defined in under the Investment Company Act of 1940, as amended 1940 (the an “1940 ActInvestment Company”). The Company is not controlled by an Investment Company.
Appears in 3 contracts
Samples: Securities Purchase Agreement (FUND.COM Inc.), Securities Purchase Agreement (FUND.COM Inc.), Securities Purchase Agreement (National Holdings Corp)
No Investment Company. Neither the Company it nor any of its subsidiaries is, and upon the offering of the Shares as herein contemplated will be, Subsidiaries is an “"investment company” ," or an entity “a company "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 3 contracts
Samples: Agreement and Plan of Merger (Republic Bancorp Inc), Agreement and Plan of Merger (Republic Bancorp Inc), Agreement and Plan of Merger (D&n Financial Corp)
No Investment Company. Neither the Company nor any of its subsidiaries is, and upon is or will be after giving effect to the offering of transactions contemplated by the Shares as herein contemplated will be, Transaction Documents an “investment company” or an entity a company “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 2 contracts
Samples: Class a Common Stock Purchase Agreement (Document Security Systems Inc), Class a Common Stock Purchase Agreement (Alset EHome International Inc.)
No Investment Company. Neither the Company nor any of its subsidiaries is, and upon the offering of the Shares as herein contemplated will be, is an “"investment company” or an entity “" nor a company "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 1 contract
No Investment Company. Neither the Company nor any of its subsidiaries Subsidiaries is, and upon the offering issuance and sale of the Shares Securities as herein contemplated by this Agreement, will 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 1940 (the “1940 Act”an "Investment Company"). The Company is not controlled by an Investment Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Westergaard Com Inc)
No Investment Company. Neither the Company nor any of its subsidiaries is, and upon is or will be after giving effect to the offering of transactions contemplated by the Shares as herein contemplated will be, Purchase Agreement an “investment company” or an entity a company “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 1 contract
Samples: Common Stock Purchase Agreement (API Technologies Corp.)
