COPIES OF THIS FORM. The Subscriber and the issuer must each receive a signed copy. If the subscription is in favour of one or more person jointly, each person must submit two (2) copies of this form. SCHEDULE “F” MINIMUM AMOUNT INVESTMENT CERTIFICATE TO: Norrep Capital Management Ltd. (the “Manager”) and Norrep Market Neutral Income Fund (the “Fund”) In connection with the purchase by the undersigned purchaser (the “Subscriber”) of units (the “Units”) of the Fund, the Subscriber (or the signatory on behalf of the Subscriber) certifies for the benefit of the Manager and the Fund that the Subscriber, is a resident of, or the purchase and sale of securities to the Subscriber is otherwise subject to the securities legislation of, British Columbia, Alberta, Manitoba, Nova Scotia, New Brunswick, Newfoundland & Labrador, Ontario, Xxxxxx Xxxxxx Island or Saskatchewan and is purchasing the Units as principal. Specifically, the Subscriber is: PLEASE CHECK THE BOX BELOW, AND INITIAL: making a firm commitment to invest an aggregate amount of at least $150,000, is not an individual, and has not been formed, created, established or incorporated for the purpose of permitting the purchase of the Units without a prospectus. SCHEDULE “G” PRIVACY POLICY NORREP CAPITAL MANAGEMENT LTD. The privacy of our investors is very important to us. Set forth below are our policies with respect to personal information of subscribers, investors and former investors that we collect, use and disclose. In connection with the offering and sale of units (the “Units”) of the Norrep Market Neutral Income Fund (the “Fund”), we collect and maintain personal information about subscribers. We collect personal information to enable us to provide you with services in connection with your investment in the Fund, to meet legal and regulatory requirements and for any other purpose to which they may consent in the future. Investors’ personal information may be collected from the following sources: • subscription agreements or other forms that they submit to us; and • their transactions with us and our affiliates. Unless a subscriber otherwise advises, by providing us with their personal information they have consented to our collection, use and disclosure of their information as provided herein and as provided in the trust agreement governing the Fund. We may disclose personal information to third parties, when necessary, and to our affiliates in connection with the services we provide related to a subscription for Units, in...
COPIES OF THIS FORM. THE PURCHASER AND THE ISSUER MUST EACH RECEIVE A SIGNED COPY. APPENDIX II TO SCHEDULE A INDIVIDUAL ACCREDITED INVESTOR QUESTIONNAIRE THIS APPENDIX II TO SCHEDULE A IS TO BE COMPLETED BY ACCREDITED INVESTORS WHO ARE INDIVIDUALS SUBSCRIBING UNDER CATEGORIES (J), (K) OR (L) IN SCHEDULE A TO WHICH THIS APPENDIX II IS ATTACHED. Capitalized terms used in this Appendix II to Schedule A and defined in the Agreement to which this Appendix II to Schedule A is attached have the meaning defined in the Agreement unless otherwise defined herein. I understand that in order to be accepted as an “accredited investor” under National Instrument 45-106, I must satisfy certain of the following criteria. The undersigned hereby represents and warrants to the Corporation as follows:
COPIES OF THIS FORM. THE PURCHASER AND THE ISSUER MUST EACH RECEIVE A SIGNED COPY. - FORM 1C - Form 45-106F12 Risk Acknowledgement Form for Family, Friend and Business Associate Investors WARNING! This investment is risky. Don’t invest unless you can afford to lose all the money you pay for this investment.
COPIES OF THIS FORM. The Subscriber and the issuer must each receive a signed copy. If the subscription is in favour of one or more person jointly, each person must submit two (2) copies of this form. SCHEDULE “E” PRIVACY POLICY NORREP CAPITAL MANAGEMENT LTD. The privacy of our investors is very important to us. Set forth below are our policies with respect to personal information of subscribers, investors and former investors that we collect, use and disclose. In connection with the offering and sale of units (the “Units”) of the Norrep Enhanced Credit Fund (the “Fund”), we collect and maintain personal information about subscribers. We collect personal information to enable us to provide you with services in connection with your investment in the Fund, to meet legal and regulatory requirements and for any other purpose to which they may consent in the future. Investors’ personal information may be collected from the following sources: subscription agreements or other forms that they submit to us; and their transactions with us and our affiliates. Unless a subscriber otherwise advises, by providing us with their personal information they have consented to our collection, use and disclosure of their information as provided herein and as provided in the trust agreement governing the Fund. We may disclose personal information to third parties, when necessary, and to our affiliates in connection with the services we provide related to a subscription for Units, including: financial service providers, such as banks and others used to finance or facilitate transactions by, or operations of, the Fund; other service providers to the Fund, such as accounting, legal, or tax preparation services; and taxation and regulatory authorities and agencies. We seek to carefully safeguard private information and, to that end, restrict access to personal information about them to those employees and other persons who need to know the information to enable us to provide services to them. Each employee of Norrep Capital Management Ltd. is responsible for ensuring the confidentiality of all personal information they may access.
COPIES OF THIS FORM. THE PURCHASER AND THE ISSUER MUST EACH RECEIVE A SIGNED COPY. FORM 2 U.S. PURCHASER CERTIFICATE Residents of All States: THE SECURITIES OFFERED IN THIS SUBSCRIPTION AGREEMENT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933 (THE “ACT”) OR THE SECURITIES LAWS OF ANY STATE, AND ARE BEING OFFERED AND SOLD IN RELIANCE ON EXEMPTIONS FROM THE REGISTRATION REQUIREMENTS OF THE ACT AND APPLICABLE STATE LAWS. THE SECURITIES ARE SUBJECT TO RESTRICTIONS ON TRANSFERABILITY AND RESALE, AND MAY NOT BE TRANSFERRED OR RESOLD EXCEPT AS PERMITTED UNDER SAID ACT AND SUCH LAWS PURSUANT TO REGISTRATION OR EXEMPTION THEREFROM. INVESTORS SHOULD BE AWARE THAT THEY WILL BE REQUIRED TO BEAR THE FINANCIAL RISKS OF THIS INVESTMENT FOR AN INDEFINITE PERIOD OF TIME. THE SECURITIES HAVE NOT BEEN APPROVED OR DISAPPROVED BY THE SECURITIES AND EXCHANGE COMMISSION, ANY STATE SECURITIES COMMISSION, OR ANY OTHER REGULATORY AUTHORITY, NOR HAVE ANY OF THE FOREGOING AUTHORITIES PASSED UPON OR ENDORSED THE MERITS OF THIS OFFERING OR THE ACCURACY OR ADEQUACY OF THE SUBSCRIPTION AGREEMENT. ANY REPRESENTATION TO THE CONTRARY IS UNLAWFUL. IN MAKING AN INVESTMENT DECISION, INVESTORS MUST RELY ON THEIR OWN EXAMINATION OF THE COMPANY AND THE TERMS OF THE OFFERING, INCLUDING THE MERITS AND RISKS INVOLVED. THESE SECURITIES HAVE NOT BEEN RECOMMENDED BY ANY FEDERAL OR STATE SECURITIES COMMISSION OR REGULATORY AUTHORITY. FURTHERMORE, THESE AUTHORITIES HAVE NOT CONFIRMED THE ACCURACY OR DETERMINED THE ADEQUACY OF THIS DOCUMENT. ANY REPRESENTATION TO THE CONTRARY IS A CRIMINAL OFFENSE. U.S. PURCHASER CERTIFICATE (TO BE COMPLETED BY U.S. PURCHASERS)
COPIES OF THIS FORM. The purchaser and the issuer must each receive a signed copy. RISK ACKNOWLEDGEMENT (This copy is for your records) Form 45-106F4 Risk Acknowledgement · I acknowledge that this is a risky investment. · I am investing entirely at my own risk. · No securities regulatory authority or regulator has evaluated or endorsed the merits of these securities or the disclosure in the offering memorandum.
COPIES OF THIS FORM. The purchaser and the issuer must each receive a signed copy.
COPIES OF THIS FORM. The purchaser and the issuer must each receive a signed copy TERMS AND CONDITIONS OF SUBSCRIPTION FOR THE UNITS ARTICLE 1
COPIES OF THIS FORM. The purchaser and the issuer must each receive a signed copy. APPENDIX D CERTIFICATE OF ELIGIBLE INVESTOR (FOR ALBERTA RESIDENTS) TO: PROVIDUS MORTGAGE INVESTMENT CORPORATION In connection with the purchase by the subscriber (the “Subscriber”) of Preferred Shares of the Corporation specified on the first page of this Subscription Agreement, the Subscriber or the undersigned on behalf of the Subscriber, as the case may be, represents, warrants and certifies for the benefit of the Corporation that the Subscriber is an “eligible investor” within the meaning of National Instrument 45-106 Prospectus and Registration Exemptions. Specifically, the Subscriber is: PLEASE INITIAL BESIDE THE APPLICABLE CATEGORY (Note: For Joint Subscribers, each Subscriber must initial beside the applicable category and sign where indicated below.)
COPIES OF THIS FORM. THE PURCHASER AND THE ISSUER MUST EACH RECEIVE A SIGNED COPY. FORM 2 CERTIFICATE OF U.S. ACCREDITED INVESTOR STATUS In addition to the representations, warranties, acknowledgments and agreements contained in the subscription agreement (the “subscription”) to which this Form 2 – Certificate of U.S. Accredited Investor Status is attached, the Subscriber hereby represents, warrants and certifies to the Issuer that the Subscriber is purchasing the securities set out in the subscription as principal, that the Subscriber is a resident of the jurisdiction of its disclosed address set out in the Subscriber’s information on page 3 of the subscription, and:
