Introduced Investors definition

Introduced Investors means a list of investors, where the Offering was made known to each listed investor.
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Introduced Investors has the meaning given to it in Section 32(c); "Lead Agent" has the meaning given to it above;
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Introduced Investors means those investors, as set forth on Annex A-1 (as may be amended from time to time by Dxxxxx Xxxxxxxx in writing, including email) to whom the Transaction was made known by Dxxxxx Xxxxxxxx and Assisting BDs. “Excluded Investors” shall mean (i) any director, officer, or employee of the Company, (ii) those investors set forth on Annex A-2 to whom the Company has been previously introduced by another of its financial advisors, and (iii) any participating investor that was introduced by Katalyst Securities and not listed on Annex A-1.
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Examples of Introduced Investors in a sentence

  • It is understood that for purposes of this Agreement, Kuhns Brothers shall be deemed to have introduced such Introduced Investors to the Company not only by physical introductions and meetings, but also by arranging or facilitating telephonic or correspondence meetings between the parties, whether or not Kuhns Brothers participated in such meetings, telephone calls or correspondence.

  • Upon the closing of the Offering, and as a condition thereto, the Company will issue to Xxxx and Xxxxxxx Xxxxx in the aggregate warrants to purchase the securities sold in the Offering equal to five (5%) of the total shares issued in the Offering to Introduced Investors.

  • So long as PC identifies to the Company which portion of the Confidential Information will be made public to the Introduced Investors before disclosing such portion of the Confidential Information to the Introduced Investors and gives the Company a reasonable opportunity to object to such disclosure, PC will not be in breach of its confidentiality obligations hereunder.

  • In the event that the Company makes any sales of Securities to Introduced Investors during the period between December 1, 2006 and November 30, 2007 (the “Tail Period”), the Company shall pay to Xxxx and Xxxxxxx Xxxxx in the aggregate a cash placement fee equal to eight and one-half percent (8.5%) of the aggregate cash purchase price of such Securities; provided that such sale of securities is not an Exempt Sale.

  • You represent that you are the Placement Agent that introduced each of the Introduced Investors to us and that, accordingly, you are entitled to aggregate Introduction Compensation in connection with the Offering of $105,000 cash and Agent Warrants to purchase an aggregate of 420,000 shares of our common stock.

  • The Company further acknowledges and understands that Agent is not authorized to negotiate the terms of the transaction with any Introduced Investor on behalf of the Company or to execute the transaction on behalf of the Company and the Company and not Agent, will negotiate directly with any Introduced Investors.

  • So long as Alexander Capital identifies to the Company which portion of the Confidential Information will be made public to the Introduced Investors before disclosing such portion of the Confidential Information to the Introduced Investors and gives the Company a reasonable opportunity to object to such disclosure, Alexander Capital will not be in breach of its confidentiality obligations hereunder.

  • The Company shall pay to Chardan or its designee shall receive five-year warrants (“Agent Warrants”) to purchase an aggregate of ten percent (10%) of the number of Shares sold or granted in the Private Placement to Introduced Investors at an exercise price equal to the price per share of the Shares sold in the Private Placement.

  • As compensation for Xxxxxx’s services hereunder, Divine shall be entitled to a selling commission in cash equal to ten percent (10.0%) of the gross proceeds from the sale of Securities as a part of the Offering to Introduced Investors consummated at each Closing, which commission will be due and payable upon the receipt by the Company of the net proceeds thereof from the escrow described in the preceding paragraph (each an “Escrow Closing”).

  • In the event that the Company receives gross proceeds of at least $2,250,000, the Company hereby agrees to issue and sell to the Representative (and/or its designees) on the Closing Date, an option (“Representative’s Warrant”) for the purchase of an aggregate number of shares of Common Stock representing 3% of the Firm Shares, excluding any sales of Firm Shares to Company Introduced Investors.

Related to Introduced Investors

  • 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.

  • 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.

  • 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.

  • Lead Investors means collectively, BlackRock, GSO, Magnetar and, solely for purposes of Section 2.02(b), Investment Partners V (II), LLC.

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

  • 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.

  • 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:

  • Accredited Investors should complete this Section

  • Permitted Investors the collective reference to the Sponsor and its Control Investment Affiliates.

  • Investors means the Initial Investors and any transferee or assignee who agrees to become bound by the provisions of this Agreement in accordance with Section 9 hereof.

  • 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.

  • 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.

  • Lead Investor means Empery Asset Master, Ltd.

  • 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;

  • Investor is defined in the preamble to this Agreement.

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

  • PIPE Investors means those certain investors participating in the PIPE Investment pursuant to the Subscription Agreements.

  • Qualified Investments means any and all securities, obligations or accounts in which municipalities may invest their funds under applicable Maine law.

  • Co-Investors means each of (a) the Fund and the Fund Affiliates (excluding any of their portfolio companies) and (b) the Management Group.

  • 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.

  • Initial Investors means (A) X.L. Insurance Company, Ltd.; (B) The Trident Partnership, L.P.; (C) Xxxxx & McLennan Risk Capital Holdings, Ltd.; or (D) any majority-owned subsidiary or parent (or equivalent in the case of a non-corporate entity) of the foregoing.

  • Qualified Initial Public Offering means a firm underwritten offering of the Company pursuant to a registration statement under the Securities Act (i) of common Capital Stock having an aggregate gross offering price of at least $50,000,000 and (ii) reasonably expected to result in more than 100 holders of record of Voting Stock of the Company (exclusive of holdings of Affiliates and employees of the Company).

  • Approved Investment means any type of security, instrument, participation or interest in property, as set forth on Schedule I hereto (which may be amended from time to time by execution of a revised Schedule I, I-A or I-B) in which Cash Collateral may be invested or reinvested by Bank in accordance with Paragraph 2 of Article IV hereof.

  • Strategic Investor means a Corporation, partnership or other entity engaged in one or more Telecommunications Businesses that has, or 80% or more of the Voting Stock of which is owned by a Person that has, an equity market capitalization, at the time of its initial Investment in the Company or in a Permitted Joint Venture with the Company, in excess of $2 billion.

  • 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.