TO BE COMPLETED BY THE REGISTRANT Sample Clauses

TO BE COMPLETED BY THE REGISTRANT. 2. Registrant information [Instruction: this section must only be completed if a subscriber has received advice from a portfolio manager, investment dealer or exempt market dealer concerning his or her investment.] First and last name of registrant (please print): Registered as: [Instruction: indicate whether registered as a dealing representative or advising representative] Telephone: Email: Name of firm: [Instruction: indicate whether registered as an exempt market dealer, investment dealer or portfolio manager.] Date: SCHEDULE B ELIGIBLE INVESTOR QUESTIONNAIRE (Manitoba Residents - Offering Memorandum Required) The undersigned, as a purchaser of Shares (the “Shares”) of AP CAPITAL MORTGAGE INVESTMENT CORPORATION (the “Corporation”), has represented to the Corporation that the undersigned is an “eligible investor” as defined in section 1.1 of National Instrument 45-106 Prospectus Exemptions. The undersigned has indicated below the categories which it, he or she satisfies to qualify as an “eligible investor”. The undersigned understands that the Corporation is relying on this information in determining to sell securities to the undersigned in a manner exempt from the prospectus requirements of applicable securities laws. The undersigned represents and warrants that it, he or she is [check the applicable item]:
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TO BE COMPLETED BY THE REGISTRANT. 2. Registrant information [Instruction: this section must only be completed if a subscriber has received advice from a portfolio manager, investment dealer or exempt market dealer concerning his or her investment.] First and last name of registrant (please print): Registered as: [Instruction: indicate whether registered as a dealing representative or advising representative] Telephone: Email: Name of firm: [Instruction: indicate whether registered as an exempt market dealer, investment dealer or portfolio manager.] Date: Complete this form if you are: • A Subscriber in Manitoba, Xxxxxx Xxxxxx Island, Yukon, Northwest Territories or Nunavut • Relying on the Offering Memorandum Exemption; and • Purchasing Units for Greater than $10,000 APPENDIX II ELIGIBLE INVESTOR QUESTIONNAIRE The undersigned, as a purchaser of units (the “Units”) of Capital Direct I Income Trust (the “Trust”), has represented to the Trust and Capital Direct Management Ltd. (the “Manager”) that the undersigned is an “eligible investor” as defined in section 1.1 of National Instrument 45-106 – Prospectus Exemptions. The undersigned has indicated below the categories which it, he or she satisfies to qualify as an “eligible investor”. The undersigned understands that each of the Trust and the Manager is relying on this information in determining to sell securities to the undersigned in a manner exempt from the prospectus requirements of applicable securities laws and the Trust or the Manager may require additional information or action to be taken by the undersigned to verify the undersigned’s eligibility for this exemption. ELIGIBLE INVESTOR STATUS The undersigned represents and warrants that it, he or she is [check each applicable item]: □
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TO BE COMPLETED BY THE REGISTRANT. 2. Registrant information [Instruction: this section must only be completed if an investor has received advice from a portfolio manager, investment dealer or exempt market dealer concerning his or her investment.] First and last name of registrant (please print): Registered as: Telephone: Email: Name of firm: Date: EXHIBIT “III” RISK ACKNOWLEDGEMENT FOR PURCHASERS RELYING ON THE OFFERING MEMORANDUM EXEMPTION THIS “EXHIBIT III” IS TO BE COMPLETED BY PURCHASERS SUBSCRIBING UNDER THE OFFERING MEMORANDUM INVESTOR EXEMPTION PROVIDED FOR UNDER THE SUBSCRIPTION AGREEMENT. FORM 45-106F4 W A R N I N G Risk Acknowledgement I acknowledge that this is a risky investment: • I am investing entirely at my own risk. • No securities regulatory authority or regulator has evaluated or endorsed the merits of these securities or the disclosure in the offering memorandum. • I will not be able to sell these securities except in very limited circumstances. I may never be able to sell these securities • I could lose all the money I invest. I am investing $ [total consideration] in total; this includes any amount I am obliged to pay in the future. Cordillera Minerals 2022 Flow-Through Limited Partnership will pay $ [amount of fee or commission] of this to [name of person selling the securities] as a fee or commission. I acknowledge that this is a risky investment and that I could lose all the money I invest. Date Signature of Purchaser Print Name of Purchaser SIGN 2 COPIES OF THIS DOCUMENT. KEEP ONE COPY FOR YOUR RECORDS You have 2 Business Days to cancel your purchase. To do so, send a notice to Cordillera Minerals 2022 Flow-Through Limited Partnership, stating that you want to cancel your purchase. You must send the notice before midnight on the 2nd Business Day after you sign the agreement to purchase the securities. You can send the notice by fax or email or deliver it in person to Cordillera Minerals 2022 Flow-Through Limited Partnership at its business address. Keep a copy of the notice for your records. Cordillera Minerals 2022 Flow-Through Limited Partnership 1100 – 0000 Xxxxxxxx Xxxxxx Attention: Xxxxx XxXxxx Phone: (000) 000-0000 Email: xxxxxxx@xxxxxxxxxxxxxxxxxx.xx Investment Fund Manager Cordillera Minerals 2022 Management Ltd. c/o Axcess Capital Advisors Inc. . Xxxxx 000, 000 00xx Xxx XX Xxxxxxx, XX X0X 0X0 Attention: Xxxxx Xxxxx Phone : (000) 000-0000, ext. 230 Email: Xxxxx.xxxxx@xxxxxxxxxxxxx.xxx You are buying Exempt Market Securities. They are called exempt market ...
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Related to TO BE COMPLETED BY THE REGISTRANT

  • Verification of the Registration of E - Bidders 6.1. Registration shall subject to verification and approval of the Auctioneer’s website and subject further to bank’s clearance of deposit payment. Please take note that approval from the Auctioneer’s administrator may take at least 1 working day and any improper, incomplete registration or late registration may be rejected at the sole discretion of the Auctioneer. Neither the Auctioneer nor its website nor its agents and/or representative bears any responsibility or assumes any liability in the event that the registration of a prospective E-Bidders is rejected and/or delayed for any reason whatsoever. In the event of the registration is rejected, the deposit paid (if cleared by the bank) shall be refunded to the same bank account from which the deposit transfer was made within three (3) working days.

  • Information Furnished by the Underwriters The statements set forth in the last paragraph of the cover page and the first and third paragraphs under the caption "Underwriting" in any Prepricing Prospectus and in the Prospectus, constitute the only information furnished by or on behalf of the Underwriters as such information is referred to in Sections 6(b) and 8 hereof.

  • SERVICES TO BE RENDERED BY THE ADVISER TO THE TRUST A. As investment adviser to the Fund, the Adviser will coordinate the investment and reinvestment of the assets of the Allocated Portion and determine the composition of the assets of the Allocated Portion, subject always to the supervision and control of the Manager and the Trustees of the Trust.

  • Maintenance of Office and Transfer Books by the Registrar Until termination of this Deposit Agreement in accordance with its terms, the Depositary or if a Registrar for the Receipts shall have been appointed, the Registrar shall maintain in the Borough of Manhattan, the City of New York, an office and facilities for the execution and delivery, registration, registration of transfers, combination and split-up of Receipts, the surrender of Receipts and the Delivery and withdrawal of Deposited Securities in accordance with the provisions of this Deposit Agreement. The Depositary or the Registrar as applicable, shall keep books for the registration of Receipts and transfers of Receipts which at all reasonable times shall be open for inspection by the Company and by the Holders of such Receipts, provided that such inspection shall not be, to the Depositary’s or the Registrar’s knowledge, for the purpose of communicating with Holders of such Receipts in the interest of a business or object other than the business of the Company or other than a matter related to this Deposit Agreement or the Receipts. The Depositary or the Registrar, as applicable, may close the transfer books with respect to the Receipts, at any time and from time to time, when deemed necessary or advisable by it in connection with the performance of its duties hereunder, or at the reasonable written request of the Company. If any Receipts or the American Depositary Shares evidenced thereby are listed on one or more stock exchanges or automated quotation systems in the United States, the Depositary shall act as Registrar or appoint a Registrar or one or more co-registrars for registration of Receipts and transfers, combinations and split-ups, and to countersign such Receipts in accordance with any requirements of such exchanges or systems. Such Registrar or co-registrars may be removed and a substitute or substitutes appointed by the Depositary. If any Receipts or the American Depositary Shares evidenced thereby are listed on one or more securities exchanges, markets or automated quotation systems, (i) the Depositary shall be entitled to, and shall, take or refrain from taking such action(s) as it may deem necessary or appropriate to comply with the requirements of such securities exchange(s), market(s) or automated quotation system(s) applicable to it, notwithstanding any other provision of this Deposit Agreement; and (ii) upon the reasonable request of the Depositary, the Company shall provide the Depositary such information and assistance as may be reasonably necessary for the Depositary to comply with such requirements, to the extent that the Company may lawfully do so. Each Registrar and co-registrar appointed under this Section 5.1 shall give notice in writing to the Depositary accepting such appointment and agreeing to be bound by the applicable terms of the Deposit Agreement.

  • Offering of Stock by the Underwriters Upon authorization by the Representatives of the release of the Firm Stock, the several Underwriters propose to offer the Firm Stock for sale upon the terms and conditions to be set forth in the Prospectus.

  • Right to Request Registration Subject to the provisions hereof, at any time the Shelf Registration Statement covering all Registrable Securities is not effective, other than as permitted in accordance with Section 4 hereof, and until the Termination Date, a Holder may at any time request registration under the Securities Act for resale of all, but not less than all, of the Registrable Securities then-held by the applicable Holder(s) (a “Demand Registration” and each Holder who properly initiates such request shall be referred to individually as an “Initiating Holder” and collectively as the “Initiating Holders”). Subject to Section 2(f) and Sections 4 and 5 below, the Company shall (i) file a Registration Statement registering for resale such number of Registrable Securities as requested to be so registered pursuant to this Section 2(b) (a “Demand Registration Statement”) within forty-five (45) days after the Initiating Holders’ request therefor and (ii) use commercially reasonable efforts to cause such Demand Registration Statement to be declared effective by the SEC as soon as practical thereafter. To the extent requested by the Initiating Holders, the Demand Registration Statement shall allow the offer and sale of the Registrable Securities on a continuous basis pursuant to Rule 415 under the Securities Act, unless the Company is not eligible to use a form which allows such offer and sale in which case the Demand Registration Statement shall allow such offer and resale for so long a period as permitted by the Securities Act and the rules thereunder.

  • Offering by the Underwriters It is understood that the several Underwriters are to make a public offering of the Firm Shares as soon as the Representatives deem it advisable to do so. The Firm Shares are to be initially offered to the public at the initial public offering price set forth in the Prospectus. The Representatives may from time to time thereafter change the public offering price and other selling terms. To the extent, if at all, that any Option Shares are purchased pursuant to Section 2 hereof, the Underwriters will offer them to the public on the foregoing terms. It is further understood that you will act as the Representatives for the Underwriters in the offering and sale of the Shares in accordance with a Master Agreement Among Underwriters entered into by you and the several other Underwriters.

  • Offering by the Underwriter It is understood that the Underwriter proposes to offer the Offered Certificates of the related Series for sale to the public as set forth in the related Prospectus.

  • Offering Materials Furnished to Underwriters The Company has delivered to the Representatives three complete conformed copies of the Registration Statement and of each consent and certificate of experts filed as a part thereof, and conformed copies of the Registration Statement (without exhibits) and preliminary prospectuses and the Prospectus, as amended or supplemented, in such quantities and at such places as the Representatives have reasonably requested for each of the Underwriters.

  • Distribution or Notice to Representative Whenever a distribution is to be made or a notice given to holders of Senior Indebtedness, the distribution may be made and the notice given to their Representative (if any).

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