Holder Status. Holder is either: (i) an “accredited investor” as defined in Rule 501(a)(1), (a)(2), (a)(3), (a)(7), (a)(8), (a)(9), (a)(12) or (a)(13) under the Securities Act or (ii) a “qualified institutional buyer” as defined in Rule 144A(a) under the Securities Act.
Appears in 2 contracts
Sources: Purchase Agreement and Common Stock Purchase Warrant (Statera Biopharma, Inc.), Purchase Agreement and Common Stock Purchase Warrant (InMed Pharmaceuticals Inc.)
Holder Status. The Holder is either: (i) an “"accredited investor” " as defined in Rule 501(a)(1), (a)(2), (a)(3), (a)(7), (a)(8), (a)(9), (a)(12) or (a)(13) under the Securities Act or (ii) a “qualified institutional buyer” as defined in Rule 144A(aa)(8) under the Securities Act. The Holder is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Second Amendment and Waiver Agreement (Western Power & Equipment Corp), Second Amendment and Waiver Agreement (Western Power & Equipment Corp)
Holder Status. Holder is either: (i) an “accredited investor” as defined in Rule 501(a)(1), (a)(2), (a)(3), (a)(7), (a)(8), (a)(9), (a)(12) or (a)(13a)(8) under the Securities Act or (ii) a “qualified institutional buyer” as defined in Rule 144A(a) under the Securities Act.
Appears in 1 contract
Sources: Amendment and Waiver Agreement (RiceBran Technologies)
Holder Status. The Holder is either: (i) an “accredited investor” as defined in within the meaning of Rule 501(a)(1), (a)(2), (a)(3), (a)(7), (a)(8), (a)(9), (a)(12) or (a)(13) 501 of Regulation D promulgated under the Securities Act or of 1933, as amended (the “Securities Act”), and (ii) a “qualified institutional buyer” as defined in within the meaning of Rule 144A(a) 144A promulgated under the Securities Act.
Appears in 1 contract
Sources: Exchange Agreement (Verenium Corp)
Holder Status. The Holder is either: (i) a “qualified institutional buyer” as defined in Rule 144A under the Securities Act; or (ii) an “accredited investor” as defined in Rule 501(a)(1), (a)(22), (a)(3), (a)(7), (a)(8), (a)(9), (a)(123) or (a)(137) of Regulation D. The Holder is not registered as a broker or dealer under Section 15(a) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) or (ii) a “qualified institutional buyer” as defined in Rule 144A(a) under member of the National Association of Securities Act.Dealers, Inc.
Appears in 1 contract
Sources: Warrant Agreement (Innovative Software Technologies Inc)