Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 188 contracts
Sources: Securities Purchase Agreement (Akari Therapeutics PLC), Securities Purchase Agreement (Akari Therapeutics PLC), Securities Purchase Agreement (Akari Therapeutics PLC)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 124 contracts
Sources: Securities Purchase Agreement (Lpath, Inc), Securities Purchase Agreement (Oculus Innovative Sciences, Inc.), Securities Purchase Agreement (Cardima Inc)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any Warrants, Warrants or converts any Debentures 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 86 contracts
Sources: Securities Purchase Agreement (Sionix Corp), Securities Purchase Agreement (Visualant Inc), Securities Purchase Agreement (Titan Iron Ore Corp.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 73 contracts
Sources: Securities Purchase Agreement (Biomira CORP), Securities Purchase Agreement (Sento Corp), Securities Purchase Agreement (Cyberkinetics Neurotechnology Systems, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises any Warrants, Warrants or converts any Debentures 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 54 contracts
Sources: Securities Purchase Agreement (Assured Pharmacy, Inc.), Securities Purchase Agreement (Heavy Earth Resources, Inc.), Securities Purchase Agreement (Heavy Earth Resources, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any Warrants, Warrants or converts any Debentures 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 40 contracts
Sources: Securities Purchase Agreement (Isonics Corp), Securities Purchase Agreement (Ecotality, Inc.), Securities Purchase Agreement (Telanetix,Inc)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it converts any shares of Preferred Stock or 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 26 contracts
Sources: Securities Purchase Agreement (Imageware Systems Inc), Securities Purchase Agreement (Amarillo Biosciences Inc), Securities Purchase Agreement (NewCardio, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises any WarrantsWarrants or converts any shares of Preferred Stock, 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 22 contracts
Sources: Securities Purchase Agreement (GeoVax Labs, Inc.), Securities Purchase Agreement (Celsion CORP), Securities Purchase Agreement (Greenman Technologies Inc)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises converts any Warrants, Debentures 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 14 contracts
Sources: Securities Purchase Agreement (Codesmart Holdings, Inc.), Securities Purchase Agreement (Codesmart Holdings, Inc.), Securities Purchase Agreement (Max Sound Corp)
Purchaser Status. At the time such the Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it converts any Note or exercises any Warrants, 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 The Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 9 contracts
Sources: Securities Purchase Agreement (Stemtech Corp), Securities Purchase Agreement (Todos Medical Ltd.), Securities Purchase Agreement (SANUWAVE Health, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 8 contracts
Sources: Securities Purchase Agreement (NTN Buzztime Inc), Securities Purchase Agreement (Stevia Corp), Securities Purchase Agreement (Cel Sci Corp)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises any Warrants, Warrants or converts any Notes 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 8 contracts
Sources: Securities Purchase Agreement (IIOT-OXYS, Inc.), Securities Purchase Agreement (Summit Semiconductor Inc.), Securities Purchase Agreement (Summit Semiconductor Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any Warrants, 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 8 contracts
Sources: Securities Purchase Agreement (InB:Biotechnologies, Inc.), Securities Purchase Agreement (American Business Holdings, Inc), Securities Purchase Agreement (Chembio Diagnostics, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 8 contracts
Sources: Securities Purchase Agreement (Bullion River Gold Corp), Securities Purchase Agreement (Bullion River Gold Corp), Securities Purchase Agreement (It&e International Group)
Purchaser Status. At the time such the Purchaser was offered the Securities, it was, and as of at the date hereof it 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 The Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 7 contracts
Sources: Securities Purchase Agreement (Emerge Interactive Inc), Securities Purchase Agreement (Viral Genetics Inc /De/), Securities Purchase Agreement (Viral Genetics Inc /De/)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises converts any Warrants, Debentures 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 7 contracts
Sources: Securities Purchase Agreement (Silverstar Holdings LTD), Securities Purchase Agreement (Aprecia Inc), Securities Purchase Agreement (Jesup & Lamont, Inc.)
Purchaser Status. At the time such the Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any Warrants, Warrants or converts any Notes 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 The Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 6 contracts
Sources: Securities Purchase Agreement (Becoming Art Inc), Securities Purchase Agreement (Las Vegas Gaming Inc), Securities Purchase Agreement (Airguide, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises any Warrants, 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 6 contracts
Sources: Securities Purchase Agreement (Arno Therapeutics, Inc), Securities Purchase Agreement (GreenHouse Holdings, Inc.), Securities Purchase Agreement (GreenHouse Holdings, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it converts any Note or exercises any Warrants, 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 The Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 6 contracts
Sources: Securities Purchase Agreement (SANUWAVE Health, Inc.), Securities Purchase Agreement (SANUWAVE Health, Inc.), Securities Purchase Agreement (SANUWAVE Health, Inc.)
Purchaser Status. At the time such the Purchaser was offered the SecuritiesDebentures, it was, and as of the date hereof it is, and on each date on which it exercises converts any Warrants, Debentures 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 The Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 6 contracts
Sources: Securities Purchase Agreement (Progreen US, Inc.), Securities Purchase Agreement (Pressure Biosciences Inc), Securities Purchase Agreement (Pressure Biosciences Inc)
Purchaser Status. At the time such the Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises converts any Warrantsportion of the Note, 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 The Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 5 contracts
Sources: Securities Purchase Agreement (Comstock Inc.), Securities Purchase Agreement (Comstock Inc.), Securities Purchase Agreement (Comstock Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any Warrants, it will be eitherbe: (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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 5 contracts
Sources: Securities Purchase Agreement (Epicept Corp), Securities Purchase Agreement (Epicept Corp), Securities Purchase Agreement (Epicept Corp)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises any WarrantsWarrants for cash, it 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 5 contracts
Sources: Securities Purchase Agreement (Generex Biotechnology Corp), Securities Purchase Agreement (Generex Biotechnology Corp), Securities Purchase Agreement (Generex Biotechnology Corp)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises any Warrants, Warrants for cash it will be either: (i) an institutional “accredited investor” as defined in Rule 501(a)(1), (a)(2), (a)(3), (a)(7) or (a)(8) under Regulation D under the Securities Act or (ii) a and/or meets the definition of “qualified institutional buyer” as defined in Rule 144A(a144A(a)(1) under the Securities Act, and is not an entity formed for the sole purpose of acquiring the Securities. Such Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 5 contracts
Sources: Securities Purchase Agreement (Cell Therapeutics Inc), Securities Purchase Agreement (Cell Therapeutics Inc), Securities Purchase Agreement (Cell Therapeutics Inc)
Purchaser Status. At the time such the Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises any Warrants, Warrants or converts any Debentures 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 The Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 4 contracts
Sources: Securities Purchase Agreement (Lithium Exploration Group, Inc.), Securities Purchase Agreement (Lithium Exploration Group, Inc.), Securities Purchase Agreement (Lithium Exploration Group, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises any Warrants, it will be either: 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 Act; or (ii) a “qualified institutional buyer” as s defined in Rule 144A(a) under the Securities Act. Such Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 4 contracts
Sources: Securities Purchase Agreement (Guided Therapeutics Inc), Securities Purchase Agreement (Guided Therapeutics Inc), Securities Purchase Agreement (Guided Therapeutics Inc)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises any WarrantsWarrants for cash, 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 4 contracts
Sources: Note and Warrant Purchase Agreement, Note and Warrant Purchase Agreement (Marina Biotech, Inc.), Note and Warrant Purchase Agreement (MDRNA, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it 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)(5), (a)(6), (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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 4 contracts
Sources: Common Stock Purchase Agreement (LandStar, Inc.), Common Stock Purchase Agreement (LandStar, Inc.), Common Stock Purchase Agreement (Pure Bioscience, Inc.)
Purchaser Status. At the time such the Purchaser was offered the SecuritiesDebenture, it was, and as of the date hereof it is, and on each date on which it exercises any Warrants, converts the Debenture 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 The Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 4 contracts
Sources: Securities Purchase Agreement (Gopher Protocol Inc.), Securities Purchase Agreement (Digital Power Corp), Securities Purchase Agreement (Digital Power Corp)
Purchaser Status. At the time such the Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any Warrants, Warrants or converts any Notes 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 The Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 4 contracts
Sources: Securities Purchase Agreement (Global Axcess Corp), Securities Purchase Agreement (Liska Biometry Inc), Securities Purchase Agreement (Global Axcess Corp)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any Warrants, Warrants or converts any Notes 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 3 contracts
Sources: Securities Purchase Agreement (Blue Holdings, Inc.), Securities Purchase Agreement (Axis Technologies Group Inc), Securities Purchase Agreement (Vistula Communications Services, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises any Warrants, Warrants it 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act. Such Purchaser has a substantive, pre-existing relationship with the Company and/or the Placement Agent.
Appears in 3 contracts
Sources: Securities Purchase Agreement (Interpace Diagnostics Group, Inc.), Securities Purchase Agreement (Interpace Diagnostics Group, Inc.), Securities Purchase Agreement (Interpace Diagnostics Group, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it converts any Debentures or 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 3 contracts
Sources: Securities Purchase Agreement (Advanced Cell Technology, Inc.), Securities Purchase Agreement (Advanced Cell Technology, Inc.), Securities Purchase Agreement (Advanced Cell Technology, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises any WarrantsWarrants or converts any Debentures, 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 3 contracts
Sources: Securities Purchase Agreement (Statmon Technologies Corp), Securities Purchase Agreement (Epicept Corp), Securities Purchase Agreement (Epicept Corp)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on the Closing Date and on each date on which it exercises any Warrants, 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 3 contracts
Sources: Securities Purchase Agreement (Fuel Performance Solutions, Inc.), Securities Purchase Agreement (World Waste Technologies Inc), Securities Purchase Agreement (World Waste Technologies Inc)
Purchaser Status. At the time such the Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises converts any Warrants, Debentures 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 The Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 3 contracts
Sources: Securities Purchase Agreement (InspireMD, Inc.), Securities Purchase Agreement (InspireMD, Inc.), Securities Purchase Agreement (Neogenomics Inc)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any Warrants, 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) 501 under the Securities Act or (ii) a “"qualified institutional buyer” " as defined in Rule 144A(a) under the Securities Act. Such Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 3 contracts
Sources: Warrants Purchase Agreement (Tarrant Apparel Group), Securities Purchase Agreement (Diomed Holdings Inc), Warrants Purchase Agreement (Tarrant Apparel Group)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, , and on each date on which it exercises converts any Warrantsshares of Preferred Stock, 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 3 contracts
Sources: Securities Purchase Agreement (Andalay Solar, Inc.), Securities Purchase Agreement (Andalay Solar, Inc.), Securities Purchase Agreement (Andalay Solar, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange ActAct and such Purchaser is not a broker-dealer, nor an affiliate of a broker-dealer.
Appears in 3 contracts
Sources: Securities Purchase Agreement (MetaStat, Inc.), Securities Purchase Agreement (MetaStat, Inc.), Securities Purchase Agreement (Photovoltaic Solar Cells, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises converts any Warrantsshares of Preferred Stock, 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 3 contracts
Sources: Securities Purchase Agreement (Portsmouth Square Inc), Securities Purchase Agreement (Santa Fe Financial Corp), Securities Purchase Agreement (Intergroup Corp)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it 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(a144A9a) under the Securities Act. Such Purchaser purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 3 contracts
Sources: Securities Purchase Agreement (Celsion CORP), Securities Purchase Agreement (Celsion CORP), Securities Purchase Agreement (Celsion CORP)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it 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)(5), (a)(6), (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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 3 contracts
Sources: Securities Purchase Agreement (Z Trim Holdings, Inc), Securities Purchase Agreement (Z Trim Holdings, Inc), Securities Purchase Agreement (Z Trim Holdings, Inc)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises the Warrant or converts any Warrantsof the Purchased Shares, it will be either: (i) an “accredited investor” as defined in Rule 501(a)(1), (a)(2), (a)(3), (a)(7) or (a)(8501(a) under the Securities Act or (ii) a “qualified institutional buyer” as defined in Rule 144A(a) under the Securities Act. Such Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 3 contracts
Sources: Securities Purchase Agreement (AMERICAN POWER GROUP Corp), Securities Purchase Agreement (AMERICAN POWER GROUP Corp), Securities Purchase Agreement (AMERICAN POWER GROUP Corp)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it is exercises any Warrants, Warrants it will be be, either: (i) an “accredited investor” as defined in Rule 501(a)(1), (a)(2), (a)(3), (a)(5), (a)(6), (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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 3 contracts
Sources: Securities Purchase Agreement (Pure Bioscience, Inc.), Securities Purchase Agreement (Pure Bioscience, Inc.), Securities Purchase Agreement (Pure Bioscience, Inc.)
Purchaser Status. At the time such the Purchaser was offered the Securities, it was, and as of at the date hereof it 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 3 contracts
Sources: Strategic Alliance Agreement (Elite Pharmaceuticals Inc /De/), Securities Purchase Agreement (Home School, Inc.), Securities Purchase Agreement (Regi U S Inc)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it 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 Purchaser is not required to be a registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 3 contracts
Sources: Securities Purchase Agreement (Rexahn Pharmaceuticals, Inc.), Securities Purchase Agreement (Rexahn Pharmaceuticals, Inc.), Securities Purchase Agreement (Rexahn Pharmaceuticals, Inc.)
Purchaser Status. At the time such Purchaser was offered the SecuritiesDebentures, it was, and as of at the date hereof it is, and on each date on which it exercises converts any Warrants, Debentures 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 3 contracts
Sources: Debenture Purchase Agreement (Luxeyard, Inc.), Debenture Purchase Agreement (Cytosorbents Corp), Debenture Purchase Agreement (BeesFree, Inc.)
Purchaser Status. At the time such the Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises converts any Warrants, Debentures 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 The Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 3 contracts
Sources: Securities Purchase Agreement (Pladeo Corp.), Securities Purchase Agreement (Advaxis, Inc.), Securities Purchase Agreement (Pressure Biosciences Inc)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises any Warrants, Warrants or converts any Common Stock 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (United States Antimony Corp), Securities Purchase Agreement
Purchaser Status. At the time such the Purchaser was offered the Securities, it was, and as of at the date hereof it 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Easy Energy Inc), Securities Purchase Agreement (Easy Energy Inc)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act; provided that this warranty shall not apply to the Placement Agent if the Placement Agent is a Purchaser.
Appears in 2 contracts
Sources: Securities Purchase Agreement (ONCOSEC MEDICAL Inc), Securities Purchase Agreement (ONCOSEC MEDICAL Inc)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises any Warrants, Warrants for cash 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 of the Securities Act or (ii) a “qualified institutional buyer” as defined in Rule 144A(a) under of the Securities Act. Such Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act. Such Purchaser is not, and is not an affiliate of, any of the Company’s investors set forth on Schedule 3.2(c) attached to this Agreement.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Cell Therapeutics Inc), Securities Purchase Agreement (Cell Therapeutics Inc)
Purchaser Status. At the time such the Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any Warrants, 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 The Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (China Biopharmaceuticals Holdings Inc), Securities Purchase Agreement (China Biopharmaceuticals Holdings Inc)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any WarrantsWarrants or converts any Debentures, 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Hartville Group Inc), Securities Purchase Agreement (Global National Communications Corp.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it converts any Preferred Stock or exercises any Warrants, 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Knockout Holdings, Inc.), Securities Purchase Agreement (Knockout Holdings, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises converts any Warrants, shares of Preferred Stock 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Generex Biotechnology Corp), Securities Purchase Agreement (Adventrx Pharmaceuticals Inc)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any Investor 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Java Detour Inc.), Securities Purchase Agreement (Java Detour Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises any Warrants, Series C Warrants or converts any Notes 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (NXT Nutritionals Holdings, Inc.), Securities Purchase Agreement (NXT Nutritionals Holdings, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises converts any Warrants, Notes 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 Except as set forth on Schedule 3.2(d), such Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Master Exchange Agreement (FP Technology, Inc.), Master Exchange Agreement (FP Technology, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.. A copy of the definition of those terms is attached as Exhibit G.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Exabyte Corp /De/), Securities Purchase Agreement (Meritage Private Equity Fund Lp)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any Warrants, Warrants or converts any Debentures it 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 Purchaser is not registered or required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Solomon Technologies Inc), Securities Purchase Agreement (Solomon Technologies Inc)
Purchaser Status. At the time such Purchaser the undersigned was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any Warrants, the Warrant 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 Purchaser The undersigned is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Warrant Agreement (Phototron Holdings, Inc.), Warrant Agreement (Phototron Holdings, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (It&e International Group), Securities Purchase Agreement (Corvu Corp)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any WarrantsWarrants or Additional Investment Rights, 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Implant Sciences Corp), Securities Purchase Agreement (Implant Sciences Corp)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises Exchanges any Warrants, Debentures 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Ustelematics Inc), Securities Purchase Agreement (Ustelematics Inc)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises any Warrants, Warrants or converts any Debentures 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Wifimed Holdings Company, Inc.), Securities Purchase Agreement (ABC Funding, Inc)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises any Warrants, Warrants or converts any Notes it will be either: (i) an “accredited investor” as defined in Rule 501(a)(1), (a)(2), (a)(3), (a)(7) or (a)(8) 501 under the Securities Act or (ii) a “qualified institutional buyer” as defined in Rule 144A(a) under the Securities Act. Such Purchaser is not a “broker” or “dealer” as those terms are defined in the Exchange Act not is it required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Ads in Motion, Inc.), Securities Purchase Agreement (Ads in Motion, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on the Closing Date and 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Ecotality, Inc.), Securities Purchase Agreement (Ecotality, Inc.)
Purchaser Status. At the time such the Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises any Warrants, it 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 The Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (NewCardio, Inc.), Securities Purchase Agreement (NewCardio, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof and on the Closing Date it 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Sequenom Inc), Securities Purchase Agreement (Sequenom Inc)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises any Warrants, Warrants or converts any Debentures it will be either: (i) an “accredited investor” as defined in Rule 501(a)(1), (a)(2), (a)(3), (a)(7) or (a)(8) 501 under the Securities Act or (ii) a “qualified institutional buyer” as defined in Rule 144A(a) under the Securities Act. Such Purchaser is not a “broker” or “dealer” as those terms are defined in the Exchange Act not is it required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Ads in Motion, Inc.), Securities Purchase Agreement (Ads in Motion, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any Warrants, Warrants or converts any Preferred Stock 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Etelos, Inc.), Securities Purchase Agreement (Answers CORP)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act. Such Purchaser has a substantive, pre-existing relationship with the Company and/or the Placement Agent.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Applied Dna Sciences Inc), Securities Purchase Agreement (Applied Dna Sciences Inc)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any Warrants, 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Intrac Inc), Securities Purchase Agreement (Us Dataworks Inc)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises any Warrantsthe Closing Date, it will be either: (i) an “"accredited investor” " as defined in Rule 501(a)(1501(a)(I), (a)(2), (a)(3), (a)(7) or (a)(8) under the Securities Act ("Accredited Investor") or (ii) a “"qualified institutional buyer” " as defined in Rule 144A(a) under the Securities Act. Such Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (mCig, Inc.), Securities Purchase Agreement (mCig, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any the Warrants, it will be either: be, either (i) an “accredited investor” a "qualified institutional buyer" as defined in Rule 501(a)(1), (a)(2), (a)(3), (a)(7) or (a)(8) 144A under the Securities Act or (ii) a “qualified an institutional buyer” "accredited investor" as defined in Rule 144A(a501(a) under the Securities Act. Such Purchaser has not been formed solely for the purpose of acquiring the Securities. Such Purchaser is not required to be a registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Peregrine Pharmaceuticals Inc), Securities Purchase Agreement (Peregrine Pharmaceuticals Inc)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises converts any Warrants, Debentures 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Exchange Agreement (Telanetix,Inc), Securities Purchase Agreement (Consolidated Energy Inc)
Purchaser Status. At the time such each Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any Warrants, 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 Purchaser is The Purchasers are not required to be registered as a broker-dealer dealers under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Lu Pingji), Securities Purchase Agreement (China Housing & Land Development, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any Warrants, Warrants or converts any Debentures it will be either: (i) an “accredited investor” as defined in Rule 501(a)(1), (a)(2), (a)(3), (a)(7) or (a)(8501(a) under the Securities Act or (ii) a “qualified institutional buyer” as defined in Rule 144A(a) under the Securities Act. Such Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Guardian Technologies International Inc), Securities Purchase Agreement (Spectre Gaming Inc)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises any WarrantsWarrants for cash, 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Cel Sci Corp), Securities Purchase Agreement (Cel Sci Corp)
Purchaser Status. At the time such the Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises converts any Warrants, Securities 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 The Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 1 contract
Sources: Common Stock Purchase Agreement (Odyssey Group International, Inc.)
Purchaser Status. At the time such the Purchaser was offered the SecuritiesShares, it was, and as of at the date hereof it is, and on each date on which it exercises any Warrantsconverts the Shares into Conversion Shares, 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 1 contract
Sources: Securities Purchase Agreement (Cambridge Heart Inc)
Purchaser Status. At the time such the Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any Warrants, 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 The Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 1 contract
Sources: Securities Purchase Agreement (American International Ventures Inc /De/)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it converts any Debentures and exercises any Warrants, 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 1 contract
Sources: Securities Purchase Agreement (Silverstar Holdings LTD)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any Warrants, 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.. Such Purchaser also represents that it has not been organized solely for the purpose of acquiring the Securities
Appears in 1 contract
Sources: Securities Purchase Agreement (PDG Environmental Inc)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises converts any Warrants, Debentures or shares of Preferred Stock it 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 Purchaser is not registered or required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 1 contract
Sources: Securities Purchase Agreement (Solomon Technologies Inc)
Purchaser Status. At the time such the Purchaser was offered the SecuritiesUnits, it was, and as of the date hereof it is, and on each date on which it exercises any Warrants, a Warrant or converts a Share 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 The Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 1 contract
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it 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)(7a) (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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 1 contract
Sources: Securities Purchase Agreement (H & H Imports, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises converts any Warrants, Series A Preferred Stock 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 Act; or (ii) a “qualified institutional buyer” as defined in Rule 144A(a) under the Securities Act. Such Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 1 contract
Sources: Securities Purchase Agreement (NXT Nutritionals Holdings, Inc.)
Purchaser Status. At the time such the Purchaser was offered the SecuritiesDebenture, it was, and as of the date hereof it is, and on each date on which it exercises converts any Warrants, Debenture 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 The Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 1 contract
Sources: Securities Purchase Agreement (Chron Organization, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any Warrants, Warrants or converts any Debentures it will be either: (i) an “"accredited investor” " as defined in Rule 501(a)(1), (a)(2), (a)(3), (a)(7) or (a)(8501(a) under the Securities Act or (ii) a “"qualified institutional buyer” " as defined in Rule 144A(a) under the Securities Act. Such Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 1 contract
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any Warrants, the Warrant or converts the Debenture 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 1 contract
Purchaser Status. At the time such the Purchaser was offered the Securities, Warrant it was, and as of at the date hereof it is, and on each date on which it exercises any Warrantsthe Warrant, 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 The Purchaser further represents and warrants that it is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 1 contract
Sources: Securities Purchase Agreement (Cell Therapeutics Inc)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises any Warrants, Warrants it is or will be on such date of exercise, 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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 1 contract
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it 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 Purchaser purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 1 contract
Sources: Securities Purchase Agreement (Akari Therapeutics PLC)
Purchaser Status. At the time such each Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any Warrants, Warrants or converts any Notes 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 Each Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.. NYC01_84139423_7
Appears in 1 contract
Purchaser Status. At the time such the Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises any Series K 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(a144A9a) under the Securities Act. Such The Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 1 contract
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it 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 Purchaser is not registered and not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 1 contract
Sources: Securities Purchase Agreement (China Gengsheng Minerals, Inc.)
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any Warrants, 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 and Section 1.1 of NI 45-106, or (ii) a “qualified institutional buyer” as defined in Rule 144A(a) under the Securities Act. Such Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 1 contract
Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of at the date hereof it is, and on each date on which it exercises any Warrants, Warrants or converts any Notes it will be either: (i) an “"accredited investor” " as defined in Rule 501(a)(1501 (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 Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act.
Appears in 1 contract