Common use of Holder Status Clause in Contracts

Holder Status. The Holder is (i) an “accredited investor” within the meaning of Rule 501 of Regulation D promulgated under the Securities Act of 1933, as amended (the “Securities Act”), and (ii) a “qualified institutional buyer” within the meaning of Rule 144A promulgated under the Securities Act.

Appears in 1 contract

Samples: Exchange Agreement (Verenium Corp)

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Holder Status. The Holder is either: (i) an “accredited investor” within the meaning of as defined in Rule 501 of Regulation D promulgated 501(a)(1), (a)(2), (a)(3), (a)(7), (a)(8), (a)(9), (a)(12) or (a)(13) under the Securities Act of 1933, as amended (the “Securities Act”), and or (ii) a “qualified institutional buyer” within the meaning of as defined in Rule 144A promulgated 144A(a) under the Securities Act.

Appears in 1 contract

Samples: InMed Pharmaceuticals Inc.

Holder Status. The Such Holder is either (i) an “accredited investor” within the meaning of Rule 501 501(a) of Regulation D promulgated under the Securities Act of 1933, as amended (the “Securities Act”), and (ii) a “qualified institutional buyer” within the meaning of under Rule 144A or (iii) not a “U.S. person” (as defined in Regulation S promulgated under the Securities Act).

Appears in 1 contract

Samples: Exchange Agreement (Maxeon Solar Technologies, Ltd.)

Holder Status. The Holder is either: (i) an “accredited investor” within the meaning of as defined in Rule 501 of Regulation D promulgated 501(a)(1), (a)(2), (a)(3), (a)(7) or (a)(8) under the Securities Act of 1933, as amended (the “Securities Act”), and or (ii) a “qualified institutional buyer” within the meaning of as defined in Rule 144A promulgated 144A(a) under the Securities Act.

Appears in 1 contract

Samples: Amendment and Waiver Agreement (RiceBran Technologies)

Holder Status. The Holder is either: (i) an “accredited investor” within the meaning of as defined in Rule 501 of Regulation D promulgated 501(a)(1), (a)(2), (a)(3), (a)(7), (a)(8), (a)(9), (a)(12) or (a)(13) under the Securities Act of 1933, as amended (the “Securities Act”), and or (ii) a “qualified institutional buyer” within the meaning of as defined in Rule 144A promulgated 144A(a) under the Securities Act.. Exhibit A Amendment

Appears in 1 contract

Samples: Statera Biopharma, Inc.

Holder Status. The Such Holder is is, and on each date on which it exercises any Warrants, it will be, either: (i) an “accredited investor” within the meaning of as defined in Rule 501 of Regulation D promulgated 501(a)(1), (a)(2), (a)(3), (a)(7) or (a)(8) under the Securities Act of 1933, as amended (the “Securities Act”), and or (ii) a “qualified institutional buyer” within the meaning of as defined in Rule 144A promulgated 144A(a) under the Securities Act. Such Holder is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.

Appears in 1 contract

Samples: Warrant Amendment Agreement (Xoma LTD /De/)

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Holder Status. The Holder is either: (i) an “accredited investor” within the meaning of Rule 501 of Regulation D promulgated under the Securities Act of 1933, as amended (the “Securities Act”), and (ii) a “qualified institutional buyer” within the meaning of as defined in Rule 144A promulgated under the Securities Act.; or (ii) an “accredited investor” as defined in Rule 501(a)(1), (2), (3) or (7) of Regulation D. The Holder is not registered as a broker or dealer under Section 15(a) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) or a member of the National Association of Securities Dealers, Inc.

Appears in 1 contract

Samples: Innovative Software Technologies Inc

Holder Status. The On each date on which the Holder is exercises this Warrant, it will be either: (i) an “accredited investor” within the meaning of as defined in Rule 501 of Regulation D promulgated 501(a)(1), (a)(2), (a)(3), (a)(7) or (a)(8) under the Securities Act of 1933, as amended (the “Securities Act”), and or (ii) a “qualified institutional buyer” within the meaning of as defined in Rule 144A promulgated 144A(a) under the Securities Act. Such Holder is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.

Appears in 1 contract

Samples: Intellipharmaceutics International Inc.

Holder Status. The As of the date hereof the Holder is is, and on each date on which the Holder exercises any Warrants, the Holder will be either: (i) an “accredited investor” within the meaning of as defined in Rule 501 of Regulation D promulgated 501(a)(1), (a)(2), (a)(3), (a)(7) or (a)(8) under the Securities Act of 1933, as amended (the “Securities Act”), and or (ii) a “qualified institutional buyer” within the meaning of as defined in Rule 144A promulgated 144A(a) under the Securities Act.

Appears in 1 contract

Samples: Warrant Exercise Agreement (Workhorse Group Inc.)

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