Investor Status. The Investor is an “accredited investor” as defined in Rule 501(a) under the Securities Act and a “qualified institutional buyer” as defined in Rule 144A under the Securities Act. The Investor is not a registered broker-dealer under Section 15 of the Exchange Act.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Axion Power International, Inc.), Securities Purchase Agreement (Thermoenergy Corp), Securities Purchase Agreement (Axion Power International, Inc.)
Investor Status. The Investor is an “accredited investor” as that term is defined in by Rule 501(a) 501 of Regulation D promulgated under the Securities Act and a “qualified institutional buyer” the information provided by the Investor in the Investor Questionnaire, attached hereto as defined in Rule 144A under the Securities ActAppendix A, is truthful, accurate, and complete. The Investor is not registered as a registered broker-dealer under Section 15 of the Exchange ActAct or an affiliate of such broker-dealer.
Appears in 3 contracts
Samples: Subscription Agreement (Gran Tierra Energy, Inc.), Subscription Agreement (Gran Tierra Energy, Inc.), Subscription Agreement (Alternative Energy Sources Inc)
Investor Status. The Investor is an “accredited investor” as defined in Rule 501(a) under the Securities Act and a “qualified institutional buyer” as defined in Rule 144A under the Securities Act. The Investor is not a registered broker-dealer under Section 15 of the Exchange ActAct or associated or affiliated with such a broker-dealer. The Investor has a principal place of business at the address listed for Investor on the signature pages hereto.
Appears in 3 contracts
Samples: Warrant Acquisition Agreement (Energy Focus, Inc/De), Warrant Acquisition Agreement (Energy Focus, Inc/De), Warrant Acquisition Agreement (Energy Focus, Inc/De)
Investor Status. The Investor is an “accredited investorAccredited Investor” as that term is defined in Rule 501(a501(a)(3) under of Regulation D of the Securities Act and a “qualified institutional buyerQualified Institutional Buyer” as that term is defined in Rule 144A under the Securities Act. The Investor is not a registered broker-dealer under Section 15 of the Exchange Act.
Appears in 3 contracts
Samples: Equity Distribution Agreement (Alon USA Energy, Inc.), Standby Equity Distribution Agreement (Alon USA Energy, Inc.), Equity Distribution Agreement (Advanced Life Sciences Holdings, Inc.)
Investor Status. The Investor is an “accredited investor” as that term is defined in by Rule 501(a) 501 of Regulation D promulgated under the Securities Act and a “qualified institutional buyer” the information provided by the Investor in the Investor Questionnaire, attached hereto as defined in Rule 144A under the Securities ActAppendix A, is truthful, accurate, and complete. The Investor is not registered as a registered broker-dealer under Section 15 of the Exchange ActAct or an affiliate of such broker-dealer, except as otherwise provided in the Investor Questionnaire.
Appears in 2 contracts
Samples: Subscription Agreement (Kreido Biofuels, Inc.), Form of Subscription Agreement (Modigene Inc.)
Investor Status. The Investor is an “accredited investor” as defined in Rule 501(a) under the Securities Act and a “qualified institutional buyer” as defined in Rule 144A under the Securities Act. The Investor is not a registered broker-dealer under Section 15 of the Exchange ActAct or associated or affiliated with such a broker-dealer. Any Investor which is an entity has not been formed specifically for the purpose of investing in the Securities and has its principal place of business at the address listed for it on the signature pages hereto.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Energy Focus, Inc/De), Securities Purchase Agreement (Energy Focus, Inc/De)
Investor Status. The Investor is either: (i) an “accredited investor” as defined in Rule 501(a501(a)(1), (a)(2), (a)(3), (a)(7) or (a)(8) under the Securities Act and or (ii) a “qualified institutional buyer” as defined in Rule 144A under the Securities Act. The Such Investor is not required to be registered as a registered broker-dealer under Section 15 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”).
Appears in 2 contracts
Samples: Exchange Agreement (Greater Cannabis Company, Inc.), Exchange Agreement (Greater Cannabis Company, Inc.)
Investor Status. The Investor is an “accredited investorAccredited Investor” as that term is defined in by Rule 501(a) 501 of Regulation D promulgated under the Securities Act and the information provided by the Investor in the Investor’s Questionnaire, a “qualified institutional buyer” copy of which is attached hereto as defined in Rule 144A under the Securities ActExhibit A, is truthful, accurate, and complete. The Investor is not registered as a registered broker-dealer under Section 15 of the Exchange Act.
Appears in 1 contract
Investor Status. The Investor is an “accredited investor” as defined in Rule 501(a) under the Securities Act and a “qualified institutional buyer” as defined in Rule 144A under the Securities Act. The Investor is not a registered broker-dealer under Section 15 of the Exchange ActAct or associated or affiliated with such a broker-dealer. Any Investor which is an entity has not been formed specifically for the purpose of investing in the Notes and has its principal place of business at the address listed for it on the signature pages hereto.
Appears in 1 contract
Investor Status. The Investor is an “accredited investor” as that term is defined in by Rule 501(a) 501 of Regulation D promulgated under the Securities Act and a “qualified institutional buyer” the information provided by the Investor in the Investor Questionnaire, attached hereto as defined in Rule 144A under the Securities ActAppendix B, is truthful, accurate, and complete. The Investor is not registered as a registered broker-dealer under Section 15 of the Exchange ActAct or an affiliate of such broker-dealer, except as otherwise provided in the Investor Questionnaire.
Appears in 1 contract
Investor Status. The Investor is an institutional “accredited investor” as defined in Rule 501(a501(a)(3) of Regulation D under the Securities Act and a “qualified institutional buyer” as defined in Rule 144A under the Securities Act. The Investor is not a registered broker-dealer under Section 15 of the Exchange Act.
Appears in 1 contract
Investor Status. The Investor is either: (i) an “accredited investor” as defined in Rule 501(a501(a)(1), (a)(2), (a)(3), (a)(7) or (a)(8) under the Securities Act and or (ii) a “qualified institutional buyer” as defined in Rule 144A under the Securities Act. The Investor is not required to be registered as a registered broker-dealer under Section 15 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”).
Appears in 1 contract
Samples: Exchange Agreement (Harrison Vickers & Waterman Inc)
Investor Status. The Such Investor is an “accredited investor” as defined in Rule 501(a) under the Securities Act and a “qualified institutional buyer” as defined in Rule 144A under the Securities Act. The Investor is not a registered broker-dealer under Section 15 of the Exchange Act.
Appears in 1 contract
Investor Status. The Such Investor is either a “qualified institutional buyer” within the meaning of Rule 144A under the Securities Act, or an “accredited investor” as defined in Rule 501(a501(a)(1), (2), (3) under the Securities Act and a “qualified institutional buyer” as defined or (7) in Rule 144A under Regulation D of the Securities Act. The Such Investor is not a registered broker-dealer under Section 15 of party to any voting agreements or similar arrangements with respect to the Exchange ActShares.
Appears in 1 contract
Samples: Common Stock Purchase Agreement (Cyclerion Therapeutics, Inc.)
Investor Status. The Investor is an “accredited investor” as that term is defined in by Rule 501(a) 501 of Regulation D promulgated under the Securities Act and a “qualified institutional buyer” the information provided by the Investor in the Investor Questionnaire, attached hereto as defined in Rule 144A under the Securities ActAppendix A, is truthful, accurate, and complete. The Investor is not registered as a registered broker-dealer under Section 15 of the Exchange ActAct or an affiliate of such broker-dealer, except as otherwise indicated in the Investor Questionnaire.
Appears in 1 contract
Investor Status. The Such Investor is an “accredited investor” as defined in Rule 501(a) under the Securities Act and a “qualified institutional buyer” as defined in Rule 144A under the Securities Act. The Such Investor is not a registered broker-dealer under Section 15 of the Exchange Act.
Appears in 1 contract
