Common use of Holder Status Clause in Contracts

Holder Status. Such Holder is, and on each date on which it exercises any Warrants, it will be, either: (i) an “accredited investor” as defined in Rule 501(a)(1), (a)(2), (a)(3), (a)(7) or (a)(8) under the Securities Act or (ii) a “qualified institutional buyer” as defined in Rule 144A(a) under the Securities Act. Such Holder is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.

Appears in 1 contract

Samples: Warrant Amendment Agreement (Xoma LTD /De/)

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Holder Status. Such Holder is, and on each date on which it exercises any Warrants, it will be, 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)(8a)(13) under the Securities Act or (ii) a “qualified institutional buyer” as defined in Rule 144A(a) under the Securities Act. Such Holder is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.Exhibit A Amendment

Appears in 1 contract

Samples: Statera Biopharma, Inc.

Holder Status. Such As of the date hereof the Holder is, and on each date on which it the Holder exercises any Warrants, it the Holder will be, be either: (i) an “accredited investor” as defined in Rule 501(a)(1), (a)(2), (a)(3), (a)(7) or (a)(8) under the Securities Act or (ii) a “qualified institutional buyer” as defined in Rule 144A(a) under the Securities Act. Such Holder is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.

Appears in 1 contract

Samples: Warrant Exercise Agreement (Workhorse Group Inc.)

Holder Status. Such Holder is, and on each date on which it exercises any Warrants, it will be, 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)(8a)(13) under the Securities Act or (ii) a “qualified institutional buyer” as defined in Rule 144A(a) under the Securities Act. Such Holder is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.

Appears in 1 contract

Samples: InMed Pharmaceuticals Inc.

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Holder Status. Such Holder is, and on each date on which it exercises any Warrants, it will be, is either: (i) an “accredited investor” as defined in Rule 501(a)(1), (a)(2), (a)(3), (a)(7) or (a)(8) under the Securities Act or (ii) a “qualified institutional buyer” as defined in Rule 144A(a) under the Securities Act. Such Holder is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.

Appears in 1 contract

Samples: Amendment and Waiver Agreement (RiceBran Technologies)

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