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.
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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

Examples of Introduced Investor in a sentence

  • Ongoing Commissions shall be calculated on a daily basis by IFSL International as a percentage of the aggregate value of investments maintained in a Fund and/or Sub-Fund by each Introduced Investor by reference to the Agreed Rate.

  • By contrast, in southern and eastern African cotton sectors, fewer households are equipped even to plough with their own equipment.

  • 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.

  • 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.

  • 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.

  • Overall furfural concentration in the liquid phase is very low, less than 2% mass based on the low solid content in the diluted straw slurry.

  • If within the six (6) months following the termination of this Agreement by the Company if the Company or any of its subsidiaries or affiliates consummates any Transaction with a Northland Introduced Investor who actually participates in the Transaction, as included on Annex A, contemplated by this Agreement, Northland 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.

  • If, within the six (6) months following an Early Termination of this Agreement by the Company (the “Tail Period”), the Company or any of its subsidiaries or affiliates consummates a Transaction with an Introduced Investor, Dxxxxx Xxxxxxxx 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 to the extent of the Introduced Investor’s participation in such Transaction.

  • If during the term of the engagement agreement with the Placement Agent, the Company enters into an agreement with respect to or completes a change of control transaction, business combination or similar transaction with a BSL Introduced Investor, then the Company shall pay the Placement Agent, upon the closing of such transaction, a fee equal to five percent (5%) of the transaction value of such transaction.

  • All policies, procedures and training programs of the organization should reflect this change.


More Definitions of Introduced Investor

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 (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.
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. 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 an investor who has been certified by the commissioner under subdivision 3.

  • 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 defined in Rule 501(a)(1), (2), (3) or (7) under the Securities Act, who are not also QIBs.

  • Institutional Accredited Investors Institutions that are “accredited investors” within the meaning of Rule 501(a) (1), (2), (3) or (7) of Regulation D under the Act or any entity all of the equity owners of which are such institutions.

  • 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.

  • Accredited Investors should complete this Section

  • 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).

  • 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 February 1, 2003, among Structured Asset Mortgage Investments Inc., Wells Fargo Bank Minnesota, National Xxxxxiation, EMC Mortgage Corporation and JPMorgan Chase Bank, 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, PTE 91- 38, PTE 90-1, PTE 95-60, PTE 00-00 xxx (XX) xxxx xxx xive rise to any additional fiduciary duties on the part of the Seller, the Master Servicer 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 a person who is one (or more) of the following:

  • 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.