ACCREDITED INVESTOR QUESTIONS. You represent and warrant to ENERGY HUNTER RESOURCES, INC., a Delaware corporation (the “Corporation”) that you come within one of the categories marked below, and that for any category marked, you have truthfully set forth the factual basis or reason you come within that category.
☐ a. You are: a bank as defined in Section 3(a)(2) of the Securities Act of 1933, as amended (the “Securities Act”) or a savings and loan association or other institution as defined in Section 3(a)(5)(A) of the Securities Act whether acting in its individual or fiduciary capacity; a broker or dealer registered pursuant to section 15 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”); an insurance company as defined in section 2(13) of the Securities Act; an investment company registered under the Investment Company Act of 1940 (the “1940 Act”) or a business development company as defined in section 2(a)(48) of the 1940 Act; a Small Business Investment Company licensed by the U.S. Small Business Administration under section 301(c) or (d) of the Small Business Investment Act of 1958; a plan established and maintained by a state, its political subdivisions, or any agency or instrumentality of a state or its political subdivisions, for the benefit of its employees, and such plan has total assets in excess of U.S.$5,000,000; an employee benefit plan within the meaning of the Employee Retirement Income Security Act of 1974 and the investment decisions are made by a plan fiduciary, as defined in section 3(21) of such act, which is either a bank, savings and loan association, insurance company, or registered investment adviser, or if the employee benefit plan has total assets in excess of U.S.$5,000,000 or, if a self-directed plan, with investment decisions made solely by persons that are accredited investors. (describe entity)
☐ b. You are a private business development company as defined in section 202(a)(22) of the Investment Advisers Act of 1940.
☐ c. You are a natural person (not a partnership, corporation, etc.) whose individual net worth, or joint net worth with his or her spouse, presently exceeds U.S.$1,000,000. In calculating net worth you may include equity in personal property and real estate (other than your principal residence) cash, short-term investments, stock and securities. Equity in personal property and real estate (other than your principal residence) should be based on the appraised fair market value of such property less debt secured by such ...
ACCREDITED INVESTOR QUESTIONS. 10 In general, if the Investor is neither an “operating company” (as defined in U.S. Department of Labor Regulation § 2510.3-101(c)) nor an investment company registered under the Investment Company Act, its underlying assets will include “ plan assets” of an ERISA Plan or Code Plan if, immediately after the most recent acquisition of any equity interest in the Investor, 25% or more of the total value of any class of equity interests in the Investor is held by benefit plan investors. As defined in Section 3(42) of ERISA, the term “benefit plan investor” includes (i) any ERISA Plan, (ii) any Code Plan, and (iii) any entity whose underlying assets include “plan assets” by reason of investment in the entity by other benefit plan investors (but only to the extent of the percentage of equity interests of the entity that are held by benefit plan investors). For purposes of determining whether this 25% threshold has been met or exceeded, the value of any equity interests in the Investor that are held by a person (other than a benefit plan investor) who has discretionary authority or control with respect to the assets of the Investor, or any person who provides investment advice for a fee (direct or indirect) with respect to such assets, or any affiliate of such a person, is disregarded. Please indicate the basis of the Investor’s status as an “accredited investor” (as defined in Regulation D promulgated under the Securities Act) by answering the following questions.
ACCREDITED INVESTOR QUESTIONS. In order for the Company to offer and sell the Securities in conformance with state and federal securities laws, the following information must be obtained regarding your investor status. Please initial each category applicable to you as a Purchaser of the Securities.
(a) a bank as defined in section 3(a)(2) of the Securities Act or a savings and loan association or other institution as defined in section 3(a)(5)(A) of the Securities Act, acting in either an individual or fiduciary capacity;
(b) a broker or dealer registered pursuant to section 15 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”);
(c) an insurance company as defined in section 2(13) of the Securities Act;
(d) an investment company registered under the Investment Company Act of 1940 or a business development company as defined in section 2(a)(48) of that Act;
(e) a Small Business Investment Company licensed by the U.S. Small Business Administration under section 301(c) or (d) of the Small Business Investment Act of 1958;
(f) a plan established and maintained by a state, its political subdivisions, or an agency or instrumentality of a state or its political subdivisions, for the benefit of its employees, which plan has total assets in excess of $5,000,000;
(g) an employee benefit plan within the meaning of the Employee Retirement Income Security Act of 1974, which satisfies one of the following criteria: (i) the investment decision for such plan is made by a plan fiduciary, as defined in section 3(21) of such Act, which is either a bank, a savings and loan association, an insurance company, or a registered investment adviser; (ii) such plan has total assets in excess of $5,000,000; or (iii) such plan is a self-directed plan and its investment decisions are made solely by persons who are “accredited investors” within the meaning of Rule 501(a) under the Securities Act;
(h) a private business development company as defined in section 202(a)(22) of the Investment Advisers Act of 1940;
(i) an organization described in section 501(c)(3) of the Internal Revenue Code, a corporation, a Massachusetts or similar business trust, or a partnership, which was not formed for the specific purpose of investing in the Company, and which has total assets in excess of $5,000,000;
(j) a trust with total assets in excess of $5,000,000, which was not formed for the specific purpose of investing in the Company and whose investment in the Company is directed by a person with such knowledge and ...
ACCREDITED INVESTOR QUESTIONS. Be sure to initial the relevant sections of item (2) (d) represented the Accredited Investor Status, page 4 or 5, whichever is appropriate.
ACCREDITED INVESTOR QUESTIONS. For Entities
(a) a corporation, a partnership, a limited liability company, a Massachusetts or similar business trust, or an organization described in Section 501(c)(3) of the Code, in each case not formed for the specific purpose of acquiring an Interest, with total assets in excess of $5,000,000;
(b) an entity in which each and every one of the equity owners is an “accredited investor” as defined in Rule 501 under the 1933 Act; If the Investor checked this statement and did not check statement (a) above, please provide a list of all equity owners.
(c) a trust, and: (i) the trustee of the trust is a bank, as defined in Section 3(a)(2) of the 1933 Act, or other institution described in statement (d) below, and the purchase of the Interest is directed by such bank or other institution; or
