Common use of For Entities Clause in Contracts

For Entities. Are you: (1) a bank as defined in section 3(a)(2) of the Act, or a savings and loan association or other institution as defined in section 3(a)(5)(A) of the Act whether acting in its individual or fiduciary capacity? (2) a broker or dealer registered pursuant to section 15 of the Securities Exchange Act of 1934? (3) an insurance company as defined in section 2(13) of the Act? (4) an investment company registered under the Investment Company Act of 1940 or a business development company as defined in section 2(a)(48) of that Act? (5) a Small Business Investment Company licensed by the U.S. Small Business Administration under section 301(c) or (d) of the Small Business Investment Act of 1958? (6) a plan established and maintained by a state, its political subdivisions, or any agency or instrumentality of a state or its political subdivisions, for the benefit of its employees, if such plan has total assets in excess of $5,000,000? (7) an employee benefit plan within the meaning of the Employee Retirement Income Security Act of 1974 if the investment decision is made by a plan fiduciary, as defined in section 3(21) of such act, which is either a bank, savings and loan association, insurance company, or registered adviser, or if the employee benefit plan has total assets in excess of $5,000,000 or, if a self-directed plan, with investment decisions made solely by persons that are accredited investors? (8) a private business development company as defined in section 202(a)(22) of the Investment Advisors Act of 1940? (9) an organization described in section 501(c)(3) of the Internal Revenue Code, corporation, Massachusetts or similar business trust, or partnership, not formed for the specific purpose of acquiring the securities offered, with total assets in excess of $5,000,000? (10) a trust, with total assets in excess of $5,000,000, not formed for the specific purpose of acquiring the Shares, whose purchase is directed by a sophisticated person who has such knowledge and experience in financial and business matters that such person is capable of evaluating the merits and risks of investing in the Partnership? (11) an entity in which all of the equity owners qualify under any of the above categories (including the categories for individuals listed in the immediately preceding section)? If the undersigned belongs to this investor category only, list the equity owners of the undersigned, and the investor category which each such equity owner satisfies:

Appears in 1 contract

Sources: Convertible Debenture Unit Purchase Agreement (CardioGenics Holdings Inc.)

For Entities. Are you: (1) a bank as defined in section 3(a)(2) of the Act, or a savings and loan association or other institution as defined in section 3(a)(5)(A) of the Act whether acting in its individual or fiduciary capacity? (2) a broker or dealer registered pursuant to section 15 of the Securities Exchange Act of 1934? (3) an insurance company as defined in section 2(13) of the Act? (4) an investment company registered under the Investment Company Act of 1940 or a business development company as defined in section 2(a)(48) of that Act? (5) a Small Business Investment Company licensed by the U.S. Small Business Administration under section 301(c) or (d) of the Small Business Investment Act of 1958? (6) a plan established and maintained by a state, its political subdivisions, or any agency or instrumentality of a state or its political subdivisions, for the benefit of its employees, if such plan has total assets in excess of $5,000,000? (7) an employee benefit plan within the meaning of the Employee Retirement Income Security Act of 1974 if the investment decision is made by a plan fiduciary, as defined in section 3(21) of such act, which is either a bank, savings and loan association, insurance company, or registered adviser, or if the employee benefit plan has total assets in excess of $5,000,000 or, if a self-directed plan, with investment decisions made solely by persons that are accredited investors? (8) a private business development company as defined in section 202(a)(22) of the Investment Advisors Act of 1940? (9) an organization described in section 501(c)(3) of the Internal Revenue Code, corporation, Massachusetts or similar business trust, or partnership, not formed for the specific purpose of acquiring the securities offered, with total assets in excess of $5,000,000? (10) a trust, with total assets in excess of $5,000,000, not formed for the specific purpose of acquiring the Shares, whose purchase is directed by a sophisticated person who has such knowledge and experience in financial and business matters that such person is capable of evaluating the merits and risks of investing in the Partnership? (11) an entity in which all of the equity owners qualify under any of the above categories (including the categories for individuals listed in the immediately preceding section)? If the undersigned belongs to this investor category only, list the equity owners of the undersigned, and the investor category which each such equity owner satisfies:: _____________________________________________________________________________________________________________ _____________________________________________________________________________________________________________ _____________________________________________________________________________________________________________

Appears in 1 contract

Sources: Convertible Debenture Unit Purchase Agreement (CardioGenics Holdings Inc.)