For All Investors Sample Clauses

For All Investors. (i) The Subscriber is an individual or the individual participant of an XXX or employee benefit plan covering only one individual (an “Individual Participant”). (ii) The Subscriber is a corporation, partnership, association, joint-stock company, trust or any organized group of persons, whether incorporated or not, that (i) does not rely on Section 3(c)(1) to avoid being defined as an investment company under the 1940 Act, (ii) is not an investment company registered under the 1940 Act, or (iii) is not a “business development company,” as defined under Section 202(a)(22) of the Advisers Act. (iii) The Subscriber is a corporation, partnership, association, joint-stock company, trust or any organized group of persons, whether incorporated or not, that (i) does rely on Section 3(c)(1) of the 1940 Act, (ii) is an investment company registered under the 1940 Act, or (iii) is a business development company, as defined under the Advisers Act.
Sample 1
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For All Investors. 1. Relationship to the Company or its officers or directors, if any (for example, family member, business associate, business contact, personal acquaintance, none, etc.): ____________________________________________________ 2. The undersigned is an officer or director of a publicly held company. Yes ____ No ___ If yes, specify. ______________________________________ 3. The undersigned beneficially owns 10% or more of the voting securities of a publicly held company. Yes ____ No ___ 4. The undersigned __ has ___ has not invested in investments sold by means of private placements within the past 5 years. 5. I, the undersigned individual or person authorized to execute this Questionnaire, consider myself to have such knowledge of the Company and such experience in financial and business matters to enable me to evaluate the merits and risks of an investment in the Company. Yes ___ No ___ 6. The undersigned understands the full nature and risk of an investment in the Company and is able to bear the economic risk of an investment in the Company for an infinite period of time and can afford the complete loss of such investment. Yes ___ No ___
Sample 1
For All Investors. > __________ (Initial) (1) The Investor hereby agrees that if any of the information in these Subscription Documents changes, the Investor will notify the Manager within 60 days thereof. The Investor understands that the information contained in Item III(D) may be disclosed to the Internal Revenue Service by the Fund.
Sample 1
For All Investors. 1. Relationship to the Company or its officers or directors, if any (for example, family member, business associate, business contact, personal acquaintance, none, etc.): ____________________________________________________ 2. The undersigned is an officer or director of a publicly held company. Yes ____ No ___ If yes, specify. ______________________________________ 3. The undersigned beneficially owns 10% or more of the voting securities of a publicly held company. Yes ____ No ___ 4. The undersigned __ has ___ has not invested in investments sold by means of private placements within the past 5 years. 5. I, the undersigned individual or person authorized to execute this Questionnaire, consider myself to have such knowledge of the Company and such experience in financial and business matters to enable me to evaluate the merits and risks of an investment in the Company. Yes ___ No ___ 6. Listed below are the categories of accredited investors, as defined in Regulation D, promulgated under the Securities Act of 1933, as amended. I have checked the box or boxes below which describe me: ¨ The undersigned is presently an officer or director of the Company and is completing this questionnaire in connection with my making an additional investment. ¨ The undersigned is a natural person whose net worth as of the date hereof (including the net worth of my spouse, if married but excluding the value of my primary residence) exceeds $1,000,000. ¨ The undersigned is a natural person who had an individual “income” exceeding $200,000 during both of the two most recently completed calendar years (or a joint income with my spouse, if married, in excess of $300,000 in each of those years) and the undersigned has a reasonable expectation of reaching the same income level in the current calendar year. For purposes of this document, the term “income” shall mean adjusted gross income reported or to be reported on a federal income tax return. ¨ The undersigned is a (i) bank, (ii) savings and loan association, (iii) insurance company, (iv) broker or dealer registered under the Securities Exchange Act of 1934, as amended, or (v) investment company registered under the Investment Company Act of 1940, as amended. ¨ The undersigned is a “business development company” as defined in Section 2(a)(48) of the Investment Company Act of 1940, as amended. ¨ The undersigned is a trust with total assets in excess of $5,000,000 which was not formed for the specific purpose of acquiring the Commo...
Sample 1
For All Investors 
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Related to For All Investors

  • Investors During the Escrow Period, Investors will be instructed by the Dealer Manager or any Soliciting Dealers to remit the purchase price in the form of checks payable to the order of, or funds wired in favor of, “UMB Bank, N.A., as escrow agent for Resource Apartment REIT III, Inc.” Notwithstanding the foregoing, however, Pennsylvania Investors, Washington Investors and New York Investors shall continue to make checks payable to the order of “UMB Bank, N.A., as escrow agent for Resource Apartment REIT III, Inc.” until, respectively, the Pennsylvania Minimum Offering, the Washington Minimum Offering or the New York Minimum Offering is raised. Any checks made payable to a party other than the Escrow Agent shall be returned to the Dealer Manager or Soliciting Dealer that submitted the check. By 12:00 p.m. (EST) of the next business day following the receipt of instruments of payment from the Offering, the Company or the Dealer Manager, as applicable, shall furnish the Escrow Agent with a list of the Investors who have paid for the Securities showing the name, address, tax identification number, the amount of Securities subscribed for purchase, the amount paid and whether such Investors are Pennsylvania Investors, Washington Investors or New York Investors. The information comprising the identity of Investors shall be provided to the Escrow Agent in substantially the format set forth in the list of Investors attached hereto as Exhibit A (the “List of Investors”). The Escrow Agent shall be entitled to conclusively rely upon the List of Investors in determining whether Investors are Pennsylvania Investors, Washington Investors or New York Investors and shall have no duty to independently determine or verify the same. When a Soliciting Dealer’s internal supervisory procedures are conducted at the site at which the subscription agreement and the check for the purchase of Securities were initially received by Soliciting Dealer from the subscriber, such Soliciting Dealer shall transmit the subscription agreement and such check to the Escrow Agent by the end of the next business day following receipt of the check for the purchase of Securities and subscription agreement. When, pursuant to such Soliciting Dealer’s internal supervisory procedures, such Soliciting Dealer’s final internal supervisory procedures are conducted at a different location (the “Final Review Office”), such Soliciting Dealer shall transmit the check for the purchase of Securities and subscription agreement to the Final Review Office by the end of the next business day following Soliciting Dealer’s receipt of the subscription agreement and the check for the purchase of Securities. The Final Review Office will, by the end of the next business day following its receipt of the subscription agreement and the check for the purchase of Securities, forward both the subscription agreement and such check to the Escrow Agent. If any subscription agreement solicited by a Soliciting Dealer is rejected by the Dealer Manager or the Company, then the subscription agreement and check for the purchase of Securities will be returned to the rejected subscriber within ten (10) business days from the date of rejection. All Investor Funds deposited in the Escrow Account shall not be subject to any liens or charges by the Company or the Escrow Agent, or judgments or creditors’ claims against the Company, until and unless released to the Company as hereinafter provided. The Company understands and agrees that the Company shall not be entitled to any Investor Funds on deposit in the Escrow Account and no such funds shall become the property of the Company, or any other entity except as released to the Company pursuant to Sections 3, 4, 5 or 6 hereto. The Escrow Agent will not use the information provided to it by the Company for any purpose other than to fulfill its obligations as Escrow Agent hereunder. The Company and the Escrow Agent will treat all Investor information as confidential. The Escrow Agent shall not be required to accept any Investor Funds which are not accompanied by the information on the List of Investors.

  • Instruments Executed by Holders Bind Future Holders At any time prior to (but not after) the evidencing to the Trustee, as provided in Section 8.01, of the taking of any action by the Holders of the percentage in aggregate principal amount of the Debt Securities of any series specified in this Indenture in connection with such action and subject to the following paragraph, any Holder of a Debt Security which is shown by the evidence to be included in the Debt Securities the Holders of which have consented to such action may, by filing written notice with the Trustee at its corporate trust office and upon proof of holding as provided in Section 8.02, revoke such action so far as concerns such Debt Security. Except as aforesaid any such action taken by the Holder of any Debt Security shall be conclusive and binding upon such Holder and upon all future Holders and owners of such Debt Security and of any Debt Security issued upon transfer thereof or in exchange or substitution therefor, irrespective of whether or not any notation in regard thereto is made upon such Debt Security or such other Debt Securities. Any action taken by the Holders of the percentage in aggregate principal amount of the Debt Securities of any series specified in this Indenture in connection with such action shall be conclusively binding upon the Issuers, the Subsidiary Guarantors, the Trustee and the Holders of all the Debt Securities of such series. The Issuers may, but shall not be obligated to, fix a record date for the purpose of determining the Holders of Debt Securities entitled to give their consent or take any other action required or permitted to be taken pursuant to this Indenture. If a record date is fixed, then notwithstanding the immediately preceding paragraph, those Persons who were Holders of Debt Securities at such record date (or their duly designated proxies), and only those Persons, shall be entitled to give such consent or to revoke any consent previously given or to take any such action, whether or not such Persons continue to be Holders of Debt Securities after such record date. No such consent shall be valid or effective for more than 120 days after such record date unless the consent of the Holders of the percentage in aggregate principal amount of the Debt Securities of such series specified in this Indenture shall have been received within such 120-day period.

  • Rights of Initial Stockholders in Escrow Shares 4.1 VOTING RIGHTS AS A STOCKHOLDER. Subject to the terms of the Insider Letter described in Section 4.4 hereof and except as herein provided, the Initial Stockholders shall retain all of their rights as stockholders of the Company during the Escrow Period, including, without limitation, the right to vote such shares.

  • Rights as Shareholders; Information No holder of this Warrant, as such, shall be entitled to vote or receive dividends or be deemed the holder of Series Preferred or any other securities of the Company which may at any time be issuable upon the exercise hereof for any purpose, nor shall anything contained herein be construed to confer upon the holder of this Warrant, as such, any of the rights of a shareholder of the Company or any right to vote for the election of directors or upon any matter submitted to shareholders at any meeting thereof, or to receive notice of meetings, or to receive dividends or subscription rights or otherwise until this Warrant shall have been exercised and the Shares purchasable upon the exercise hereof shall have become deliverable, as provided herein. Notwithstanding the foregoing, the Company will transmit to the holder of this Warrant such information, documents and reports as are generally distributed to the holders of any class or series of the securities of the Company concurrently with the distribution thereof to the shareholders.

  • Selling Stockholders’ Documents On the date hereof, the Company and the Selling Stockholders shall have furnished for review by the Representatives copies of the Powers of Attorney and Custody Agreements executed by each of the Selling Stockholders and such further information, certificates and documents as the Representatives may reasonably request.

  • Additional Investors Notwithstanding anything to the contrary contained herein, if the Company issues additional shares of the Company’s Preferred Stock after the date hereof, any purchaser of such shares of Preferred Stock may become a party to this Agreement by executing and delivering an additional counterpart signature page to this Agreement, and thereafter shall be deemed an “Investor” for all purposes hereunder. No action or consent by the Investors shall be required for such joinder to this Agreement by such additional Investor, so long as such additional Investor has agreed in writing to be bound by all of the obligations as an “Investor” hereunder.

  • Right to Have Union Representative Present (a) An employee shall have the right to have her xxxxxxx present at any discussion with supervisory personnel which the employee believes might be the basis of disciplinary action. Where a supervisor intends to interview an employee for disciplinary purposes, the supervisor shall make every effort to notify the employee in advance of the purpose of the interview in order that the employee may contact his/her xxxxxxx, providing that this does not result in an undue delay of the appropriate action being taken. This Article shall not apply to those discussions that are of an operational nature. (b) A xxxxxxx shall have the right to consult with a Staff Representative of the Union and to have a local Union Representative present at any discussion with supervisory personnel which the xxxxxxx believes might be the basis of disciplinary action against the xxxxxxx, providing that this does not result in an undue delay of the appropriate action being taken.

  • Interest Holders The Administrative Agent may treat each Lender, or the Person designated in the last notice filed with the Administrative Agent under this Section 10.2, as the holder of all of the interests of such Lender in this Agreement and the other Loan Documents, its Loans and its portion of the Revolving Loan Commitment until written notice of transfer, signed by such Lender (or the Person designated in the last notice filed with the Administrative Agent) and by the Person designated in such written notice of transfer, in form and substance satisfactory to the Administrative Agent, shall have been filed with the Administrative Agent.

  • Additional Stockholders In connection with the issuance of any additional equity securities of the Company to any Person, the Company may permit such Person to become a party to this Agreement and succeed to all of the rights and obligations of a "Stockholder" under this Agreement by obtaining the consent of the holders of a majority of the Common Stockholder Shares and an executed counterpart signature page to this Agreement, and, upon such execution, such Person shall for all purposes be a "Stockholder" party to this Agreement.

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