Accredited Investor Status of Entity. Please cheek the appropriate description which applies to you. (a) A bank, as defined in Section 3 (a)(2) of the Securities Act of 1933, or any savings and loan association or other institution as defined in Section 3(a)(5)(A) of the Securities Act of 1933, whether you are acting in an individual or a fiduciary capacity. (b) An insurance company, as defined in Section 2(13) of the Securities Act of 1933. (c) An investment company registered under the Investment Company Act of 1940. (d) A business development company, as defined in Section (a)(48) of the Investment Company Act of 1940. (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) An employee benefit plan within the meaning of Title I of the Employee Retirement Income Security Act of 1974 and the investment is made by you as a plan fiduciary, as defined in Section 3(21) of such Act, and you are a bank, insurance company or a registered investment advisor, or you have total assets in excess of $5 million. (g) A private business development company as defined in Section 202(a)(22) of the Investment Advisers Act of 1940. (h) An organization described in Section 501 (c)(3) of the Internal Revenue Code, a corporation, a Massachusetts or similar business trust, or a partnership, not formed for the specific purpose of acquiring Securities, with total assets in excess of $5 million. (i) An entity (other than a trust, which must meet the requirements set forth in Section (j), below) in which all of the equity owners are accredited investors and meet at least one of the criteria listed in Part I, Section 8 of this Questionnaire. (j) A trust with total assets in excess of $5,000,000 not formed for the specific purpose of acquiring Securities, whose purchase is directed by a person with such knowledge and experience in financial and business matters that (s)he is capable of evaluating the merits and risks of the prospective investment. If you checked (i), please complete the following part of this question: (1) List all equity owners: __________________________________ (2) What is the type of entity? _______________________________ (3) Attach a copy of your resolutions or other evidence of the entity’s authority to make this investment. (4) Represent that each equity owner qualifies individually to Part I, Section 9 of this Questionnaire by printing each equity owners name below (you may include an additional sheet if necessary): ______________________________________________ ______________________________________________ ______________________________________________ (5) Please confirm that the entity was not formed solely for the purpose of subscribing for Securities in the Offering by initialing below: _________
Appears in 1 contract
Samples: Common Stock Subscription Agreement (Panther Biotechnology, Inc.)
Accredited Investor Status of Entity. Please cheek the appropriate description which applies to you.
(a) A bank, as defined in Section 3 (a)(2) of the Securities Act of 1933, or any savings and loan association or other institution as defined in Section 3(a)(5)(A) of the Securities Act of 1933, whether you are acting in an individual or a fiduciary capacity.
(b) An insurance company, as defined in Section 2(13) of the Securities Act of 1933.
(c) An investment company registered under the Investment Company Act of 1940.
(d) A business development company, as defined in Section (a)(48) of the Investment Company Act of 1940.
(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) An employee benefit plan within the meaning of Title I of the Employee Retirement Income Security Act of 1974 and the investment is made by you as a plan fiduciary, as defined in Section 3(21) of such Act, and you are a bank, insurance company or a registered investment advisor, or you have total assets in excess of $5 million.
(g) A private business development company as defined in Section 202(a)(22) of the Investment Advisers Act of 1940.
(h) An organization described in Section 501 (c)(3) of the Internal Revenue Code, a corporation, a Massachusetts or similar business trust, or a partnership, not formed for the specific purpose of acquiring Securities, with total assets in excess of $5 million.
(i) An entity (other than a trust, which must meet the requirements set forth in Section (j), below) in which all of the equity owners are accredited investors and meet at least one of the criteria listed in Part I, Section 8 of this Questionnaire.
(j) A trust with total assets in excess of $5,000,000 not formed for the specific purpose of acquiring Securities, whose purchase is directed by a person with such knowledge and experience in financial and business matters that (s)he is capable of evaluating the merits and risks of the prospective investment. If you checked (i), please complete the following part of this question:
(1) List all equity owners: __________________________________
(2) What is the type of entity? _______________________________
(3) Attach a copy of your resolutions or other evidence of the entity’s authority to make this investment.
(4) Represent that each equity owner qualifies individually to Part I, Section 9 of this Questionnaire by printing each equity owners name below (you may include an additional sheet if necessary): ______________________________________________ ______________________________________________ ___________________________________________________________________________
(5) Please confirm that the entity was not formed solely for the purpose of subscribing for Securities in the Offering by initialing below: _________:
Appears in 1 contract
Accredited Investor Status of Entity. Please cheek check the appropriate description which applies to you.
(a) A bank, as defined in Section 3 (a)(2) of the Securities Act of 1933, or any savings and loan association or other institution as defined in Section 3(a)(5)(A) of the Securities Act of 1933, whether you are acting in an individual or a fiduciary capacity.
(b) An insurance company, as defined in Section 2(13) of the Securities Act of 1933.
(c) An investment company registered under the Investment Company Act of 1940.
(d) A business development company, as defined in Section (a)(48) of the Investment Company Act of 1940.
(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) An employee benefit plan within the meaning of Title I of the Employee Retirement Income Security Act of 1974 and the investment is made by you as a plan fiduciary, as defined in Section 3(21) of such Act, and you are a bank, insurance company or a registered investment advisor, or you have total assets in excess of $5 million.
(g) A private business development company as defined in Section 202(a)(22) of the Investment Advisers Act of 1940.
(h) An organization described in Section 501 (c)(3) of the Internal Revenue Code, a corporation, a Massachusetts or similar business trust, or a partnership, not formed for the specific purpose of acquiring Securities, with total assets in excess of $5 million.
(i) An entity (other than a trust, which must meet the requirements set forth in Section (j), below) in which all of the equity owners are accredited investors and meet at least one of the criteria listed in Part I, Section 8 of this Questionnaire.
(j) A trust with total assets in excess of $5,000,000 not formed for the specific purpose of acquiring Securities, whose purchase is directed by a person with such knowledge and experience in financial and business matters that (s)he is capable of evaluating the merits and risks of the prospective investment. If you checked (i), please complete the following part of this question:
(1) List all equity owners: __________________________________
(2) What is the type of entity? _______________________________
(3) Attach a copy of your resolutions or other evidence of the entity’s authority to make this investment.
(4) Represent that each equity owner qualifies individually to Part I, Section 9 of this Questionnaire by printing each equity owners name below (you may include an additional sheet if necessary): _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________
(5) Please confirm that the entity was not formed solely for the purpose of subscribing for Securities in the Offering by initialing below: _________:
Appears in 1 contract
Accredited Investor Status of Entity. Please cheek the appropriate description which applies to you.
(a) A bank, as defined in Section 3 (a)(2) of the Securities Act of 1933, or any savings and loan association or other institution as defined in Section 3(a)(5)(A) of the Securities Act of 1933, whether you are acting in an individual or a fiduciary capacity.
(b) An insurance company, as defined in Section 2(13) of the Securities Act of 1933.
(c) An investment company registered under the Investment Company Act of 1940.
(d) A business development company, as defined in Section (a)(48) of the Investment Company Act of 1940.
(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) An employee benefit plan within the meaning of Title I of the Employee Retirement Income Security Act of 1974 and the investment is made by you as a plan fiduciary, as defined in Section 3(21) of such Act, and you are a bank, insurance company or a registered investment advisor, or you have total assets in excess of $5 million.
(g) A private business development company as defined in Section 202(a)(22) of the Investment Advisers Act of 1940.
(h) An organization described in Section 501 (c)(3) of the Internal Revenue Code, a corporation, a Massachusetts or similar business trust, or a partnership, not formed for the specific purpose of acquiring Securitiesthe securities, with total assets in excess of $5 million.
(i) An entity (other than a trust, trust which must meet the requirements set forth in Section (j), below) in which all of the equity owners are accredited investors and meet at least one of the criteria listed in Part I, Section 8 of this Questionnaire.
(j) A trust with total assets in excess of $5,000,000 not formed for the specific purpose of acquiring Securities, whose purchase is directed by a person with such knowledge and experience in financial and business matters that (s)he is capable of evaluating the merits and risks of the prospective investment. If you checked (i), please complete the following part of this question:
(1) List all equity owners: __________________________________
(2) What is the type of entity? _______________________________
(3) Attach a copy of your resolutions or other evidence of the entity’s authority to make this investment.
(4) Represent that each equity owner qualifies individually to Part I, Section 9 8 of this Questionnaire by printing each equity owners name below (you may include an additional sheet if necessary): ______________________________________________ ______________________________________________ ______________________________________________
(5) Please confirm that the entity was not formed solely for the purpose of subscribing for Securities in the Offering by initialing below: ___________________________ _________________________________________________________________________ _________________________________________________________________________
Appears in 1 contract
Accredited Investor Status of Entity. Please cheek the appropriate description which applies to you.
(a) A bank, as defined in Section 3 (a)(2) of the Securities Act of 1933, or any savings and loan association or other institution as defined in Section 3(a)(5)(A) of the Securities Act of 1933, whether you are acting in an individual or a fiduciary capacity.
(b) An insurance company, as defined in Section 2(13) of the Securities Act of 1933.
(c) An investment company registered under the Investment Company Act of 1940.
(d) A business development company, as defined in Section (a)(48) of the Investment Company Act of 1940.
(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) An employee benefit plan within the meaning of Title I of the Employee Retirement Income Security Act of 1974 and the investment is made by you as a plan fiduciary, as defined in Section 3(21) of such Act, and you are a bank, insurance company or a registered investment advisor, or you have total assets in excess of $5 million.
(g) A private business development company as defined in Section 202(a)(22) of the Investment Advisers Act of 1940.
(h) An organization described in Section 501 (c)(3) of the Internal Revenue Code, a corporation, a Massachusetts or similar business trust, or a partnership, not formed for the specific purpose of acquiring Securities, with total assets in excess of $5 million.
(i) An entity (other than a trust, which must meet the requirements set forth in Section (j), below) in which all of the equity owners are accredited investors and meet at least one of the criteria listed in Part I, Section 8 of this Questionnaire.
(j) A trust with total assets in excess of $5,000,000 not formed for the specific purpose of acquiring Securities, whose purchase is directed by a person with such knowledge and experience in financial and business matters that (s)he is capable of evaluating the merits and risks of the prospective investment. If you checked (i), please complete the following part of this question:
(1) List all equity owners: __________________________________
(2) What is the type of entity? _______________________________
(3) Attach a copy of your resolutions or other evidence of the entity’s authority to make this investment.
(4) Represent that each equity owner qualifies individually to Part I, Section 9 of this Questionnaire by printing each equity owners name below (you may include an additional sheet if necessary): _________________________________________________________ _________________________________________________________ _________________________________________________________
(5) Please confirm that the entity was not formed solely for the purpose of subscribing for Securities in the Offering by initialing below: _________________________________________________________
Appears in 1 contract
Samples: Common Stock Subscription Agreement (Panther Biotechnology, Inc.)
