Introduced Investor definition

Introduced Investor means an investor introduced to the Offering by an Introducing Broker-Dealer, who purchases shares pursuant to the Offering.
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Introduced Investor means an investor introduced to the Offering by an Introducing Broker-Dealer, who purchases shares of Class A Preferred Stock pursuant to the Offering. An Introduced Investor’s stock must be acquired from the Company by either (a) an Introducing Broker-Dealer (on behalf of the Introduced Investor) or (b) C2M, at the request of the Introducing Broker-Dealer. For the avoidance of doubt, any investor who invests directly on the Virtuoso Surgical Inc..com website “Invest Now” button is not an Introduced Investor. In addition, subject to such Introducing Broker providing Company with an Introduced Investor, and subject to the terms of the Warrant Issuance Agreement, the Company shall issue five percent (5%) in warrants of the gross proceeds of the Offering, allocated and with a strike price of $60/share, allocated between Placement Agent (1%) and the introducing brokers (4%). (By way of example, if an Introducing Broker places a $10,000 investment in the Company’s Common Shares, the Placement Agent would receive a warrant to purchase one share of the Company’s common stock at a strike price of $60 for that share; the Introducing Broker would receive a warrant to purchase four shares of the Company’s common stock at a strike price of $60/share.) The Company also will pay a $7,500 refundable due diligence fee to the Placement Agent at the signing of this Agreement. The Company will also pay consulting fee in the amount of $5,000 for other services to support the offering and its qualification with FINRA.
Sample 1
Introduced Investor means any person (individual, corporation, trust, partnership, or other entity) who: (i) was first introduced to the Company by Ardour, (ii) was first introduced to the Company by any person who was first introduced to the Company by Ardour, or (iii) is any affiliate of any of the foregoing. It is understood that the Company has approached a number of venture capital and other prospective investors in the past that, other than its existing investors, these prospective investors have not chosen to invest in Ovation. Notwithstanding Ovation's prior contacts, it is understood that Ardour may contact such investor prospects and that such contacted prospects (other than Ovation's existing investors) will be considered as Introduced Investors. With respect to private, non-venture capital investors, it is understood that the Company will handle those introductions directly and that Ardour will work on a non-exclusive basis and be compensated for its introductions as Introduced Investors, except that warrant compensation will be paid through options from Ovation's incentive stock pool.
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Examples of Introduced Investor in a sentence

  • The Company agrees that it shall not enter into any agreement with a Jxxxxx Xxxxxx Introduced Investor that (i) does not require Jxxxxx Xxxxxx to be paid its Transaction Fees in full on the closing date of the initial Transaction and any subsequent Transactions in strict accordance with provision contained in this Agreement and (ii) materially conflicts with the provisions of this Agreement.

  • If within the three (3) months following the termination of this Agreement by the Company, the Company or any of its subsidiaries or affiliates consummates any Transaction with a Jxxxxx Xxxxxx Introduced Investor as included on Annex A as amended from time to time in writing, including email, Jxxxxx Xxxxxx shall be entitled to payment in full of the applicable fees and the benefit of the other provisions described in Section 2 of this Agreement with respect to such transaction or transactions.

  • Additionally, seven (7%) of the aggregate subscription proceeds originated by an Introducing Broker other than the Placement Agent shall be payable in cash to such Introducing Broker provided that the Introducing Broker introduces an Introduced Investor as defined directly below.

  • Xxxx and Xxxxxxx Xxxxx agree to divide the cash and non-cash compensation described in Section D as follows: ninety percent (90%) to Xxxx and ten percent (10%) to SpencerTrask on any Introduced Investor introduced by Xxxx, and ninety percent (90%) to SpencerTrask and ten percent (10%) to Xxxx on any Introduced Investor introduced by Xxxxxxx Xxxxx.

  • Xxxx and Xxxxxxx Xxxxx agree to divide the cash and non-cash compensation described in Section A(1) as follows: ninety percent (90%) to Xxxx and ten percent (10%) to SpencerTrask on any Introduced Investor introduced by Xxxx, and ninety percent (90%) to SpencerTrask and ten percent (10%) to Xxxx on any Introduced Investor introduced by Xxxxxxx Xxxxx.

  • If within the three (3) months following the termination of this Agreement by the Company , the Company or any of its subsidiaries or affiliates consummates any Transaction with a Jxxxxx Xxxxxx Introduced Investor as included on Annex A as amended from time to time in writing, including email, Jxxxxx Xxxxxx shall be entitled to payment in full of the applicable fees and the benefit of the other provisions described in Section 2 of this Agreement with respect to such transaction or transactions.

  • Additionally, eight (8%) of the aggregate subscription proceeds originated by an Introducing Broker-Dealer other than the Placement Agent shall be payable in cash to such Introducing Broker-Dealer provided that the Introducing Broker-Dealer introduces an Introduced Investor as defined directly below.

  • Wheaton, Illinois 60187 February 14, 2014 First Trust Portfolios L.P. 120 East Liberty Drive Suite 400 Wheaton, Illinois 60187 Re: FT 4650 Gentlemen: We have examined the Registration Statement File No. 333-193766 for the above captioned fund.

  • For the purpose of this Article, a majority of the disinterested Trustees shall determine whether any proposed action adequately remedies any irreconcilable material conflict, but in no event will the Trust be required to bear the expense of establishing a new funding medium for any Variable Insurance Product.

  • Before it makes any introduction of a potential Introduced Investor, Dxxxxx shall advise the issuer of the identity of such party.


More Definitions of Introduced Investor

Introduced Investor means an investor introduced to the Offering by an Introducing Broker-Dealer, who purchases shares of Class A Preferred Stock pursuant to the Offering. An Introduced Investor’s stock must be acquired from the Company by either (a) an Introducing Broker-Dealer (on behalf of the Introduced Investor) or (b) C2M, at the request of the Introducing Broker-Dealer. For the avoidance of doubt, any investor who invests directly on the vxxxxxxxxxxxxxxx.xxx website “Invest Now” button is not an Introduced Investor. The Company also will pay a $10,000 refundable due diligence fee to the Placement Agent at the signing of this Agreement.
Sample 1
Introduced Investor means an investor introduced to the Offering by an Introducing Broker-Dealer, who purchases shares pursuant to the Offering. The Company also will pay to Capital2Market Consulting at the signing of the Capital2Market Consulting Agreement a $15,000 due diligence fee and a $7,500 5110 fee to qualify the offering with the Financial Industry Regulatory Authority (“FINRA”) which is not considered as revenue to the broker dealer or C2M Securities.
Sample 1
Introduced Investor means any person or entity introduced by or on behalf of LXM Finance to the Company, for the purpose of the Fundraising which is the subject matter of this Engagement Letter; and
Sample 1
Introduced Investor means an investor introduced to the Offering by an Introducing Broker-Dealer, who purchases shares of Class A Preferred Stock pursuant to the Offering. An Introduced Investor’s stock must be acquired from the Company by either (a) an Introducing Broker-Dealer (on behalf of the Introduced Investor) or (b) C2M, at the request of the Introducing Broker-Dealer. For the avoidance of doubt, any investor who invests directly on the vxxxxxxxxxxxxxxx.xxx website “Invest Now” button is not an Introduced Investor. In addition, subject to such Introducing Broker providing Company with an Introduced Investor, and subject to the terms of the Warrant Issuance Agreement, the Company shall issue five percent (5%) in warrants of the gross proceeds of the Offering, allocated and with a strike price of $100/share, allocated between Placement Agent (1%) and the introducing brokers (4%). (By way of example, if an Introducing Broker places a $10,000 investment in the Company’s Class A Preferred Shares, the Placement Agent would receive a warrant to purchase one share of the Company’s common stock at a strike price of $100 for that share; the Introducing Broker would receive a warrant to purchase four shares of the Company’s common stock at a strike price of $100/share.) The Company also will pay a $10,000 refundable due diligence fee to the Placement Agent at the signing of this Agreement.
Sample 1

Related to Introduced Investor

  • Approved Investor means any institution which has made a Takeout Commitment and has been approved by Buyer and not subsequently disapproved by Buyer.

  • Qualified Investor means any person, who invests a minimum amount of R1 million per hedge fund and who:

  • Qualified Institutional Investor (tekikaku kikan xxxxxxx) has the meaning assigned thereto in Article 2, Paragraph 3, item 1 of the Financial Instruments and Exchange Law (kinyu shohin torihiki ho) of Japan (Law No. 25 of 1948), Article 10, Paragraph 1 of the regulations relating to the definitions contained in such Article 2.

  • Designated Investor means an Investor (a) that has been approved in writing as a Designated Investor by Administrative Agent and the Required Lenders, in their sole discretion, and (b) in respect of which there has been delivered to Administrative Agent:

  • Institutional Investor means (a) any Purchaser of a Note, (b) any holder of a Note holding (together with one or more of its affiliates) more than 5% of the aggregate principal amount of the Notes then outstanding, (c) any bank, trust company, savings and loan association or other financial institution, any pension plan, any investment company, any insurance company, any broker or dealer, or any other similar financial institution or entity, regardless of legal form, and (d) any Related Fund of any holder of any Note.

  • Institutional Accredited Investor means an institution that is an "accredited investor" as that term is defined in Rule 501(a)(1), (2), (3) or (7) under the Securities Act.

  • Qualified Investors means investors who are professional clients (client professionnel/professionele cliënt) or eligible counterparty (contrepartie éligible/in aanmerking komende tegenpartij) as defined in the Belgian Prospectus Law of 16 June 2006 (as amended from time to time). The Qualified Investors may bear a lower Entry Fee (as defined under item 77 of Part A) depending on (i) the evolution of the credit quality of the Issuer (credit spread), (ii) the evolution of interest rates, (iii) the success (or lack of success) of the placement of the Notes, and (iv) the amount of Notes purchased by an investor, each as determined by each relevant distributor (including BNP Paribas Fortis SA/NV) in its sole discretion. Conditions to which the offer is subject: The Offer of the Notes is conditional on its issue.

  • Investor means the Buyer, any transferee or assignee thereof to whom a Buyer assigns its rights under this Agreement in accordance with Section 9 and who agrees to become bound by the provisions of this Agreement, and any transferee or assignee thereof to whom a transferee or assignee assigns its rights under this Agreement in accordance with Section 9 and who agrees to become bound by the provisions of this Agreement.

  • Sophisticated Investor means a Customer who has successfully declared themselves as a sophisticated investor, which term is as defined in the ”Guidelines on Unlisted Capital Market Products under the Lodge and Launch Framework” issued by the Securities Commission Malaysia or the glossary section of the information memorandum of the relevant fund. Only sophisticated investor may invest in a Wholesale Fund.

  • Institutional Investors means any regulated investment company, segregated asset account, foreign investment company, common trust fund, group trust or other investment arrangement, whether organized within or without the United States of America.

  • Institutional Accredited Investor Certificate means a certificate substantially in the form of Exhibit G hereto.

  • Applicant’s Qualified Investment means the Qualified Investment of the Applicant during the Qualifying Time Period and as more fully described in EXHIBIT 3 of this Agreement.

  • Accredited Investors means “accredited investors” as defined in Rule 501(a)(1), (a)(2), (a)(3) or (a)(7) of Regulation D under the Securities Act.

  • Prohibited Investor means a person or entity whose name appears on (i) the List of Specially Designated Nationals and Blocked Persons maintained by the U.S. Office of Foreign Assets Control; (ii) other lists of prohibited persons and entities as may be mandated by applicable law or regulation; or (iii) such other lists of prohibited persons and entities as may be provided to the Fund in connection therewith;

  • Lead Investor means Cavalry Fund I LP.

  • Qualified investment has the meaning set forth in Section 313.021(1) of the TEXAS TAX CODE, as interpreted by the Comptroller’s Rules.

  • Professional Investor means an investor who possesses the experience, knowledge and expertise to make its own investment decisions and properly assess the risks that it incurs. Professional investors include, among others, entities which are required to be authorised or regulated to operate in the financial markets, large undertakings, and other institutional investors whose main activity is to invest in financial instruments;

  • Permitted Investor means collectively, Energy Capital Partners III, LP, Energy Capital Partners III-A, LP, Energy Capital Partners III-B, LP, Energy Capital Partners III-C, LP, Energy Capital Partners-D, LP, Quantum Strategic Partners and each of their Permitted Transferees (as defined in the Investors Agreement, dated as of March 29, 2018, by and among the Parent and the other signatories thereto).

  • Sophisticated Individual Accredited Investor means an individual who (a) is an accredited investor within the meaning of Regulation D under the Securities Act and (b) based on his or her pre-existing relationship with the Dealer, is reasonably believed by the Dealer to be a sophisticated investor (i) possessing such knowledge and experience (or represented by a fiduciary or agent possessing such knowledge and experience) in financial and business matters that he or she is capable of evaluating and bearing the economic risk of an investment in the Notes and (ii) having not less than $5 million in investments (as defined, for purposes of this section, in Rule 2a51-1 under the Investment Company Act of 1940, as amended).

  • Qualified Institutional Buyers as defined in Rule 144A. It is aware that the sale of the Privately Offered Certificates is being made in reliance on its continued compliance with Rule 144A. It is aware that the transferor may rely on the exemption from the provisions of Section 5 of the Act provided by Rule 144A. The undersigned understands that the Privately Offered Certificates may be resold, pledged or transferred only to (i) a person reasonably believed to be a Qualified Institutional Buyer that purchases for its own account or for the account of a Qualified Institutional Buyer to whom notice is given that the resale, pledge or transfer is being made in reliance in Rule 144A, or (ii) an institutional "accredited investor," as such term is defined under Rule 501 of the Act in a transaction that otherwise does not constitute a public offering. The undersigned agrees that if at some future time it wishes to dispose of or exchange any of the Privately Offered Certificates, it will not transfer or exchange any of the Privately Offered Certificates to a Qualified Institutional Buyer without first obtaining a Rule 144A and Related Matters Certificate in the form hereof from the transferee and delivering such certificate to the addressees hereof. Prior to making any transfer of Privately Offered Certificates, if the proposed Transferee is an institutional "accredited investor," the transferor shall obtain from the transferee and deliver to the addressees hereof an Investment Letter in the form attached to the Pooling and Servicing Agreement, dated as of November 1, 2004, among Structured Asset Mortgage Investments II Inc., Xxxxx Fargo Bank, N.A., EMC Mortgage Corporation and U.S. Bank National Association, as Trustee, pursuant to Certificates were issued. The undersigned certifies that it either: (i) is not acquiring the Privately Offered Certificate directly or indirectly by, or on behalf of, an employee benefit plan or other retirement arrangement which is subject to Title I of the Employee Retirement Income Security Act of 1974, as amended, or section 4975 of the Internal Revenue Code of 1986, as amended, or (ii) is providing a representation or an opinion of counsel to the effect that the proposed transfer and holding of a Privately Offered Certificate and the servicing, management and operation of the Trust and its assets: (I) will not result in any prohibited transaction which is not covered under a prohibited transaction exemption, including, but not limited to, Prohibited Transaction Exemption ("PTE") 84-14, XXX 00-00, XXX 00-0, XXX 00-00, XXX 00-00 and (II) will not give rise to any additional obligations on the part of the Depositor, the Master Servicer, the Securities Administrator or the Trustee or (iii) has attached hereto the opinion specified in Section 5.07 of the Agreement. If the Purchaser proposes that its Certificates be registered in the name of a nominee on its behalf, the Purchaser has identified such nominee below, and has caused such nominee to complete the Nominee Acknowledgment at the end of this letter. Name of Nominee (if any):

  • Accredited Investor has the meaning set forth in Regulation D promulgated under the Securities Act.

  • U.S. Accredited Investor means an “accredited investor” as defined in Rule 501(a) of Regulation D;

  • Required Investors means the Investors holding a majority of the Registrable Securities.

  • retail investor means an investor who is not a professional investor;

  • qualified institutional buyer" as defined in Rule 144A.

  • Investment Client means (i) any investment company registered as such under the Investment Company Act, any series thereof, or any component of such series for which the Adviser acts as investment adviser; or (ii) any private account for which the Adviser acts as investment adviser.