Prospective Investor definition

Prospective Investor means any prospective purchaser of a Certificate or, in the case of a Book-Entry Certificate, of a beneficial ownership interest therein.

Prospective Investor means (a) any person with whom or which any GLG Entity (either directly or through an Intermediary or Prospective Intermediary) entered into negotiations or discussions, or (b) on whom or which any GLG Entity expended a material amount of money, at the Share Exchange Closing Date and to the knowledge of the Executive prior to the Share Exchange Closing Date, and in either case, (i) with a view toward securing investment(s) in any investment product(s) for which any GLG Entity provides services whether as investment manager, investment adviser, marketing adviser or in some other capacity, (ii) with which person the Executive had dealings (either directly or through an Intermediary or Prospective Intermediary) on behalf of any GLG Entity, and (iii) which person does not affirmatively indicate to any GLG Entity, at the Share Exchange Closing Date, that he, she or it does not wish to become an investor.

Prospective Investor means any person (a) with whom any GLG Entity entered into negotiations or discussions or (b) on whom any GLG Entity expended a material amount of money at the date of closing of the share exchange and to the knowledge of the Individual Principal prior to the date of closing of the share exchange, in either case, (i) with a view toward securing investment in any investment product for which any GLG Entity provides services, (ii) with which person the Individual Principal had dealings on behalf of any GLG Entity and (iii) which person does not affirmatively indicate to any GLG Entity at the date of closing of the share exchange that he, she or it does not wish to become an investor.

Examples of Prospective Investor in a sentence

• Notwithstanding anything contained herein to the contrary, the Company shall not consummate any Future Offering with an investor, or an affiliate of such investor (collectively “Prospective Investor”), identified on an ROFR Notice whereby the Buyer exercised its Right of First Refusal for a period of forty (45) days following such exercise; and any subsequent offer by a Prospective Investor is subject to this Section 4(d) and the Right of First Refusal.

• Email address for receiving electronic communications: Prospective Investor: Date: , 20 .

• If the Purchaser does not deliver an Acceptance Notice to the Company in such five (5) day period, then for a period of sixty (60) days following the date of the Offer Notice the Company may sell the Offered Securities to the Prospective Investor on the terms set forth in the Offer Notice.

• Notwithstanding anything contained herein to the contrary, the Company shall not consummate any Future Offering with an investor, or an affiliate of such investor (collectively "Prospective Investor"), identified on an ROFR Notice whereby the Buyer exercised its Right of First Refusal for a period of forty (45) days following such exercise; and any subsequent offer by a Prospective Investor is subject to this Section 4(d) and the Right of First Refusal.

• If the Offeror has identified a conflict or potential conflict in response to paragraph (h)(1) above, its Plan shall describe its mitigation or avoidance measures for each such identified conflict or potential conflict.

More Definitions of Prospective Investor

Prospective Investor means a person who has received this Information Memorandum and may become an Investor should they decide to subscribe for Redeemable Preference Shares;

Prospective Investor means any prospective investor with which or with whom the Participant knows or reasonably should have known that AGM or any of its Affiliates has had substantive discussions in the immediately preceding 12 months.

Prospective Investor means a person or entity (X) introduced during the term of the Agreement by Barretto to Client, or (Y) as to which Barretto provided advice regarding the Transaction during the term of the Agreement, or (Z) who was, or should have been, disclosed by Client to Barretto pursuant to the terms of this Agreement. All Prospective Investors shall be included on a Prospective Investor list maintained by Barretto during the term of this Agreement. The Prospective Investor list shall be disclosed to Client from time to time, upon request.

Prospective Investor means any Person from whom the Company proposes to obtain a Proposed Financing.

Prospective Investor means (a) any person with whom or which the Company or any Associated Entity (either directly or through an Intermediary or Prospective Intermediary) entered into negotiations or discussions, or (b) on whom or which the Company or any Associated Entity expended a material amount of money, during the period of six months immediately preceding the Executive’s Termination Date and to the knowledge of the Executive prior to such Termination Date, and in either case, (i) with a view toward securing investment(s) in any investment product(s) for which an Associated Entity provides services whether as investment manager, investment adviser, marketing adviser or in some other capacity, (ii) with which person the Executive had dealings (either directly or through an Intermediary or Prospective Intermediary) on behalf of the Company or any Associated Entity, and (iii) which person does not affirmatively indicate to the Company or any Associated Entity, prior to the Executive’s Termination Date, that he, she or it does not wish to become an investor;

Prospective Investor means any investor introduced by ThinkEquity that has not invested in the Company prior to June 19, 2003, which investor is included in a list of prospective investors provided to the Company by ThinkEquity within 5 business days following the termination of the Engagement Period.

Prospective Investor has the meaning set forth in Section 7.3.