PATRIOT ACT REQUIREMENTS. The Patriot Act requires us to obtain the following information from you to detect and prevent the misuse of the world financial system.
PATRIOT ACT REQUIREMENTS. The Patriot Act requires us to obtain the following information from you to detect and prevent the misuse of the world financial system.
1. In the space provided below, please provide details of where monies were transferred from to the Company in relation to your subscription for the Shares. If the country from which the monies were transferred appears in the Approved Country List below, please go to number 3. If the country does not appear, please go to number 2. Argentina Germany Liechtenstein Spain Australia Gibraltar Luxembourg Switzerland Bermuda Guernsey Mexico Turkey Belgium Hong Kong Netherlands United Kingdom Brazil Iceland New Zealand United States British Virgin Islands Ireland Norway Canada Isle of Man Panama Denmark Italy Portugal Finland Japan Singapore France Jersey
2. If subscription monies were transferred to the Company from any country other than on the "Approved Country List" (see above), please provide the following documentation to the Company (all copies should be in English and certified as being "true and correct copies of the original" by a notary public of the jurisdiction of which you are resident).
(a) For Individuals:
(i) evidence of name, signature, date of birth and photographic identification
(ii) evidence of permanent address
(iii) where possible, a reference from a bank with whom the individual maintains a current relationship and has maintained such relationship for at least two years
(b) For Companies:
(i) a copy of its certificate of incorporation and any change of name certificate
(ii) a certificate of good standing
(iii) a register or other acceptable list of directors and officers
(iv) a properly authorized mandate of the company to subscribe in the form, for example, of a certified resolution which includes naming authorized signatories
(v) a description of the nature of the business of the company
(vi) identification, as described above for individuals, for at least two directors and authorized signatories
(vii) a register of members or list of shareholders holding a controlling interest
(viii) identification, as described above, for individuals who are beneficial owners of corporate shareholders which hold 10% or more of the capital share of the company
(c) For Partnerships and Unincorporated Businesses:
(i) a copy of any certificate of registration and a certificate of good standing, if registered
(ii) identification, as described above, for individuals and, where relevant, companies constituting a majority of ...
PATRIOT ACT REQUIREMENTS. The Patriot Act requires us to obtain the following information from you to detect and prevent the misuse of the world financial system.
1. In the space provided below, please identify from where monies were transferred to Advanced Predictive Analytics Holdings, Inc. in relation to your subscription for the securities. If the country from which the monies were transferred appears in the Approved Country List below, please go to number 3. If the country does not appear, please go to number 2. Argentina Australia Austria Belgium Brazil Canada Denmark Finland France Germany Greece Gulf Cooperation Council Hong Kong Iceland Ireland Italy Japan The Netherlands (including the Netherlands Antilles and Aruba) Luxembourg Mexico New Zealand Norway Portugal Russian Federation Singapore South Africa Spain Sweden Switzerland Turkey United Kingdom United States
2. If subscription monies were transferred to Advanced Predictive Analytics Holdings, Inc. from any country other than on the “Approved Country List” (see above), please provide the following documentation to Advanced Predictive Analytics Holdings, Inc. (all copies should be in English and certified as being “true and correct copies of the original” by a notary public of the jurisdiction of which you are resident).
PATRIOT ACT REQUIREMENTS. (continued)
PATRIOT ACT REQUIREMENTS. In accordance with the requirements of the USA Patriot Act (Title III of Pub. L. 107-56 (signed into law October 26, 2001)), the Underwriters are required to obtain, verify and record information that identifies their respective clients, including the Company and the Selling Stockholders, which information may include the name and address of their respective clients, as well as other information that will allow the Underwriters to properly identify their respective clients.
PATRIOT ACT REQUIREMENTS. Patriot Act Disclosure. Section 326 of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001 (“USA PATRIOT Act”) requires the Escrow Agent to implement reasonable procedures to verify the identity of any person that opens a new account with it. Accordingly, the Parties acknowledge that Section 326 of the USA PATRIOT Act and the Escrow Agent’s identity verification procedures require the Escrow Agent to obtain information which may be used to confirm the Parties identity including without limitation name, address and organizational documents (“identifying information”). The Parties agree to provide the Escrow Agent with and consent to the Escrow Agent obtaining from third parties any such identifying information required as a condition of opening an account with or using any service provided by the Escrow Agent.
PATRIOT ACT REQUIREMENTS. In accordance with the requirements of the USA Patriot Act (Title III of Pub. L. 107-56 (signed into law October 26, 2001)), the underwriters are required to obtain, verify and record information that identifies their respective clients, including the Company, which information may include the name and address of their respective clients, as well as other information that will allow the underwriters to properly identify their respective clients. If the foregoing is in accordance with your understanding of our agreement, please sign and return to the Company and the Attorney-in-Fact for the Selling Stockholders a counterpart hereof, whereupon this instrument, along with all counterparts, will become a binding agreement among the Underwriters, the Company and the Selling Stockholders in accordance with its terms. Very truly yours, WISDOMTREE INVESTMENTS, INC. By /s/ Xxxxx X. Xxxxxx Title: Executive Vice President–Business and Legal Affairs, Chief Legal Officer XXXXX X. XXXXXX By /s/ Xxxxx X. Xxxxxx As Attorney-in-Fact acting on behalf of the Selling Stockholders named in Schedule B hereto The foregoing Underwriting Agreement is hereby confirmed and accepted as of the date first above written: XXXXXXX LYNCH, PIERCE, XXXXXX & XXXXX INCORPORATED BARCLAYS CAPITAL INC. CITIGROUP GLOBAL MARKETS INC. By: XXXXXXX LYNCH, PIERCE, XXXXXX & XXXXX INCORPORATED By /s/ Xxxx X. Xxxxxxxx By: BARCLAYS CAPITAL INC. By /s/ Xxxxxxxx Xxxx By: CITIGROUP GLOBAL MARKETS INC. By /s/ Xxxxxxx Xxxxxxxx For themselves and as Representatives of the other Underwriters named in Schedule A hereto. The public offering price per share for the Securities shall be $6.10. The purchase price per share for the Securities to be paid by the several Underwriters shall be $5.87125, being an amount equal to the public offering price set forth above less $0.22875 per share, subject to adjustment in accordance with Section 2(b) for dividends or distributions declared by the Company and payable on the Initial Securities but not payable on the Option Securities. Name of Underwriter Number of Initial Securities Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated 6,500,000 Barclays Capital Inc. 6,500,000 Citigroup Global Markets Inc. 5,200,000 Xxxxxx Xxxxxxx & Co. LLC 3,640,000 Xxxxxxx, Sachs & Co. 2,080,000 Xxxxx Xxxxxxx & Co. 1,040,000 Sterne, Agee & Xxxxx, Inc. 1,040,000 Total 26,000,000 Number of Initial Securities to be Sold Maximum Number of Option Securities to Be Sold RRE Venture III-A, L.P. 14,035,323...
PATRIOT ACT REQUIREMENTS. To help the government fight the funding of terrorism and money laundering activities, the USA Patriot Act requires all financial institutions to obtain, verify and record information that identifies each person (including business entities) who opens an account. What this means for you: When you open an account, we will ask for your name, physical address, date of birth, taxpayer identification number and other information that will allow us to identify you. We may also ask to see your driver’s license or other identifying documents.
PATRIOT ACT REQUIREMENTS. 17.24.1 No Obligor or any of its Affiliates are aware of or have notice (whether written or otherwise) that any of the funds or other assets of any Obligor or any of its Affiliates constitute property of, or are beneficially owned, directly or indirectly, by an Embargoed Person.
17.24.2 None of the funds or other assets of any Obligor or any of its Subsidiaries constitute property of, or are beneficially owned, directly or indirectly, by an Embargoed Person.
PATRIOT ACT REQUIREMENTS. 17.24.1 No Obligor or any of its Affiliates are aware of or have notice (whether written or otherwise) that any of the funds or other assets of any Obligor or any of its Affiliates constitute property of, or are beneficially owned, directly or indirectly, by an Embargoed Person.
17.24.2 None of the funds or other assets of any Obligor or any of its Subsidiaries constitute property of, or are beneficially owned, directly or indirectly, by an Embargoed Person.
17.24.3 No Embargoed Person has 15% or more of any interest of any nature whatsoever in the Borrower or any of it's Affiliates.
17.24.4 None of the funds of the Borrower have been derived from any unlawful activity of any Affiliate with the result that investment by Capmark Bank Europe plc is prohibited by applicable law or the Facility is in violation of applicable law.
