No Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 6 contracts
Samples: Note Purchase Agreement (NuGene International, Inc.), Securities Purchase Agreement (Dais Analytic Corp), Exercise Agreement (Graphon Corp/De)
No Investment Company. The Company is not, and is not an Affiliate affiliate of, and immediately after receipt of payment for the Securities, Securities will not be be, or be an Affiliate 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 4 contracts
Samples: Securities Purchase Agreement (theMaven, Inc.), Securities Purchase Agreement (theMaven, Inc.), Securities Purchase Agreement (theMaven, Inc.)
No Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, 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 4 contracts
Samples: Securities Purchase Agreement (Cue Biopharma, Inc.), Securities Purchase Agreement (Cue Biopharma, Inc.), Securities Purchase Agreement (Pulse Biosciences, Inc.)
No Investment Company. The Company is not, and is not an Affiliate affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 2 contracts
Samples: Warrant Exchange Agreement (hopTo Inc.), Note and Warrant Purchase Agreement (Augme Technologies, Inc.)
No Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, Shares will not be or be an Affiliate ofbe, an “investment company,” an “affiliated person” of, “promoter” for or “principal underwriter” for, an entity “controlled” by an “investment company,” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
No Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, 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 1 contract
Samples: Securities Purchase Agreement (Provention Bio, Inc.)
No Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the SecuritiesShares, will not be or be an Affiliate of, an “investment company” within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
No Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an “"investment company” " within the meaning of the Investment Company Act of 1940, as amended.
Appears in 1 contract
