Financial Background Sample Clauses
Financial Background. Please respond to the following questions, supplying as much detail as possible in order to make your answers complete.
2.1 Indicate by check ▇▇▇▇ which of the following categories best describes the extent of your prior experience in the areas of investment listed below: No Experience Some Experience Substantial Experience ☐ ☐ ☐ Marketable Securities ☐ ☐ ☐ Securities for which no public market exists
2.2 For those investments for which you indicated "Substantial Experience" or "Some Experience" in question 2.1 above, please answer the following additional question: How often do you make your own investment decisions with respect to such investments?
2.3 Do you have adequate means of providing for your current needs and personal contingencies and have no need for liquidity in such investments? ☐ Yes ☐ No
2.4 Please indicate whether you are borrowing the money to be used to purchase securities in the Offering? ☐ Yes ☐ No I hereby represent and warrant that:
(a) my net income before taxes was more than $200,000 in each of the 2 most recent calendar years, and I expect it to be more than $200,000 in the current calendar year;
(b) my net income before taxes combined with my spouse's was more than $300,000 in each of the 2 most recent calendar years, and I expect that our combined net income before taxes to be more than $300,000 in the current calendar year;
(c) either alone or with my spouse, I own more than $1,000,000 in cash and securities, after subtracting any debt related to the cash and securities; or
(d) either alone or with my spouse, I have net assets worth more than $5,000,000. My commitment to investments which are not readily marketable is reasonable in relation to my net worth. I meet at least one of the criteria for an “accredited investor” under National Instrument 45-106. The foregoing representations and warranties and all other information which I have provided to the Issuer concerning myself and my financial condition are true and accurate as of the date hereof. If in any respect, such representations, warranties, or information shall not be true and accurate, I will give written notice of such fact to the Issuer specifying which representations, warranties or information are not true and accurate, and the reasons therefor. I understand that the information contained herein is being furnished by me in order for the Issuer to determine my suitability as an accredited investor, may be accepted by the Issuer in light of the requirements of Nati...
Financial Background. Please respond to the following questions, supplying as much detail as possible in order to make your answers complete.
3.1 Indicate by check ▇▇▇▇ which of the following categories best describes the extent of your prior experience in the areas of investment listed below: [_] [_] [_] Marketable Securities [_] [_] [_] Securities for which no public market exists
3.2 For those investments for which you indicated “Substantial Experience” or “Some Experience” in question 3.1 above, please answer the following additional question: How often do you make your own investment decisions with respect to such investments?
3.3 Do you have adequate means of providing for your current needs and personal contingencies and have no need for liquidity in such investments? [_] Yes [_] No
Financial Background. Please respond to the following questions, supplying as much detail as possible in order to make your answers complete.
2.1 Indicate by check ▇▇▇▇ which of the following categories best describes the extent of your prior experience in the areas of investment listed below:
2.2 For those investments for which you indicated "Substantial Experience" or "Some Experience" in question 2.1 above, please answer the following additional question:
2.3 Do you have adequate means of providing for your current needs and personal contingencies and have no need for liquidity in such investments?
2.4 Please indicate whether you are borrowing the money to be used to purchase securities in the Offering?
(a) my net income before taxes was more than $200,000 in each of the 2 most recent calendar years, and I expect it to be more than $200,000 in the current calendar year;
(b) my net income before taxes combined with my spouse's was more than $300,000 in each of the 2 most recent calendar years, and I expect that our combined net income before taxes to be more than $300,000 in the current calendar year;
(c) either alone or with my spouse, I own more than $1,000,000 in cash and securities, after subtracting any debt related to the cash and securities; or
(d) either alone or with my spouse, I have net assets worth more than $5,000,000.
Financial Background. 財 務 狀 況 Estimated annual income (in HK$) 估計年薪 (以港幣計) Less than 少 於 $200,000.00 ❒ $1,000,000.00 - $5,000,000.00 $200,000.00 - $500,000.00 ❒ $5,000,000.00 - $10,000,000.00 $500,000.00 - $1,000,000.00 ❒ over 多 於 $10,000,000.00 ❒ ❒ ❒ Approximate net value of my assets (in HK$) (not including place of residence, motor vehicles, furniture, personal belongings and any life insurance polices): 淨資產(以港幣計) (不包括居住地方、汽車、傢俬、個人物品及人壽保險) less than 少 於 $500,000.00 ❒ $10,000,000.00 - $50,000,000.00 ❒ $500,000.00 - $3,000,000.00 ❒ over 多 於 $50,000,000.00 ❒ $3,000,000.00 - $10,000,000.00 ❒ Bank references (including address, type of account and account number) 銀行提述 (包括地址、戶口類別及號碼) Name of Bank(s) Address Type of Account Account No.(s) 銀 行 名 稱 地 址 戶 口 類 別 戶 口 號 碼 ________________ _________________________ _________________ ________________ _________________________ ______________ _________________ Other Broker or Dealer references (including address, type of account (eg. cash or margin and nature of securities) and account number): 其他經紀或交易商提述 (包括地址、戶口類別 (現金或按金及證券性質) 及戶口號碼) Name of Broker(s) Address Type of Account Account No(s) 經 紀 名 稱 地 址 戶 口 類 別 戶 口 號 碼 ________________ _________________________ ______________ _________________ ________________ _________________________ ______________ _____________
Financial Background. Please respond to the following questions, supplying as much detail as possible in order to make your answers complete.
Financial Background. All Service Provider employees shall wear a Service Provider’s issued picture identification badge at all times.
Financial Background. Please respond to the following questions, supplying as much detail as possible in order to make your answers complete.
3.1 Indicate by check ▇▇▇▇ which of the following categories best describes the extent of your prior experience in the areas of investment listed below:
3.2 For those investments for which you indicated “Substantial Experience” or “Some Experience” in question 3.1 above, please answer the following additional question: How often do you make your own investment decisions with respect to such investments?
3.3 Do you have adequate means of providing for your current needs and personal contingencies and have no need for liquidity in such investments? ☐ Yes ☐ No
Financial Background. A. Net Worth:* _______ Less than $120,000 _______ $300,001 to $500,000 _______ $120,001 to $200,000 _______ $500,001 to $1,000,000 _______ $200,001 to $300,000 _______ Over $1,000,000 * For purposes of this Question III(A), if the subscriber is an individual, "net worth" means the excess of total assets at fair market value (excluding principal residence, furnishings therein and personal automobiles) over total liabilities. If the subscriber is a partnership or limited liability company, "net worth" means the aggregate net worth of its general partners or members, as appropriate. If the subscriber is a trust or corporation, "net worth" means the excess of total assets at fair market value over total liabilities.
B. Cash, Negotiable Securities and Other Liquid Assets: $______________________
C. Individual Gross Income* During the Preceding Two (2) Years: YEAR-ENDING 1995 YEAR-ENDING 1994 _______ Less than $50,000 _______ Less than $50,000 _______ $50,001 to $100,000 _______ $50,001 to $100,000 _______ $100,001 to $200,000 _______ $100,001 to $200,000 _______ Over $200,000 _______ Over $200,000 * "Gross income" means adjusted gross income, as reported or to be reported for federal income tax purposes.
D. Anticipated Individual Gross Income* in 1996: _______ Less than $50,000 _______ $50,001 to $100,000 _______ $100,001 to $200,000 _______ Over $200,000 * "Gross income" means adjusted gross income, as reported or to be reported for federal income tax purposes.
E. Joint Gross Income* During the Preceding Two (2) Years: YEAR-ENDING 1995 YEAR-ENDING 1994 _______ Less than $60,000 _______ Less than $60,000 _______ $60,001 to $100,000 _______ $60,001 to $100,000 _______ $100,001 to $200,000 _______ $100,001 to $200,000 _______ $200,001 to $300,000 _______ $200,001 to $300,000 _______ Over $300,000 _______ Over $300,000