Common use of Investor Status Clause in Contracts

Investor Status. At the time such Investor was offered the Shares, it was, and at the date hereof it is, an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 13 contracts

Samples: Stock Purchase Agreement (Gulfslope Energy, Inc.), Securities Purchase Agreement (Sinobiomed Inc), Securities Purchase Agreement (China Power Technology, Inc.)

AutoNDA by SimpleDocs

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and at the date hereof it is, an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 13 contracts

Samples: Securities Purchase Agreement (Cfo Consultants, Inc.), Securities Purchase Agreement (New Paradigm Productions Inc), Securities Purchase Agreement (Granite City Food & Brewery LTD)

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and at the date hereof it is, and on each date on which it exercises Warrants it will be, an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 13 contracts

Samples: Securities Purchase Agreement (Thermoenergy Corp), Securities Purchase Agreement (Airnet Communications Corp), Securities Purchase Agreement (Alliance Pharmaceutical Corp)

Investor Status. At the time such Investor was offered the Shares, Securities it was, and at the date hereof it is, an “accredited investor” as defined in Rule 501(a) under of Regulation D, and has completed an Accredited Investor Questionnaire in the Securities Actform attached hereto immediately after the Investor’s signature page. Such Investor has not been formed solely for the purpose of acquiring the Securities. Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 6 contracts

Samples: Securities Purchase Agreement (Torrent Energy Corp), Securities Purchase Agreement (Torrent Energy Corp), Securities Purchase Agreement (Torrent Energy Corp)

Investor Status. At the time such the Investor was offered the Shares, it was, and at the date hereof it is, an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such The Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 6 contracts

Samples: Securities Purchase Agreement (Selakovic David Dragan), Securities Purchase Agreement (HPC Acquisitions, Inc.), Pacv Stock Purchase Agreement (Pacific Ventures Group, Inc.)

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and at the date hereof it is, and on each date on which it exercises the Warrants it will be, an "accredited investor" as defined in Rule 501(a) under the Securities Act. Such Investor is not required to be registered as a registered broker-dealer under Section 15 of the Securities Exchange ActAct of 1934, as amended.

Appears in 5 contracts

Samples: Securities Purchase Agreement (Oramed Pharmaceuticals Inc.), Securities Purchase Agreement (Oramed Pharmaceuticals Inc.), Securities Purchase Agreement (Oramed Pharmaceuticals Inc.)

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and at the date hereof it is, an "accredited investor" as defined in Rule 501(a) under the Securities Act, and has completed an Accredited Investor Questionnaire in the form attached herein immediately after the Investor's signature page. Such Investor has not been formed solely for the purpose of acquiring the Securities. Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 5 contracts

Samples: Securities Purchase Agreement (Geocom Resources Inc), Securities Purchase Agreement (Geocom Resources Inc), Securities Purchase Agreement (Geocom Resources Inc)

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and at the date hereof it is, is an "accredited investor" as defined in Rule 501(a) under the Securities Act. Such The Investor is not required to be registered as a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 5 contracts

Samples: Securities Purchase Agreement (Soligenix, Inc.), Securities Purchase Agreement (Dor Biopharma Inc), Securities Purchase Agreement (Dor Biopharma Inc)

Investor Status. At the time such Investor was offered the Shares, it was, and at the date hereof it is, an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such Investor is not a registered broker-dealer under Section 15 of the Exchange Act. Such Investor has such experience in business and financial matters that it is capable of evaluating the merits and risks of an investment in the Shares. Such Investor acknowledges that an investment in the Shares is speculative and involves a high degree of risk.

Appears in 5 contracts

Samples: Securities Purchase Agreement (Asian Financial Inc), Securities Purchase Agreement (Asian Financial Inc), Securities Purchase Agreement (First Growth Investors Inc)

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and at the date hereof it is, is an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 4 contracts

Samples: Securities Purchase Agreement (Daegis Inc.), Securities Purchase Agreement (Daegis Inc.), Securities Purchase Agreement (Unify Corp)

Investor Status. At the time such Investor was offered the Shares, it was, and at the date hereof it is, an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such Investor is not a registered broker-dealer under Section 15 of the Exchange ActAct or an Affiliate of such a broker-dealer.

Appears in 4 contracts

Samples: Securities Purchase Agreement (FriendFinder Networks Inc.), Securities Purchase Agreement (FriendFinder Networks Inc.), Securities Purchase Agreement (FriendFinder Networks Inc.)

Investor Status. At the time such the Investor was offered the SharesExchange Securities and Underlying Shares hereunder, it was, and at as of the date hereof it is, is either: (i) an “accredited investor” as defined in Rule 501(a501 of Regulation D promulgated under the Securities Act or (ii) a “qualified institutional buyer” as defined in Rule 144A under the Securities Act. Such The Investor is not required to be registered as a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 3 contracts

Samples: Exchange Agreement (ShiftPixy, Inc.), Amendment and Exchange Agreement (ShiftPixy, Inc.), Amendment and Exchange Agreement (ShiftPixy, Inc.)

Investor Status. At the time such Investor was offered the SharesCommon Shares and Warrants, it was, and at the date hereof it is, is an “accredited investor” as defined in Rule 501(a) under the Securities Act. Act and as indicated by such Investor’s response to the investor questionnaire attached hereto as Schedule A. Such Investor is not a registered broker-broker dealer registered under Section 15 15(a) of the Exchange Act, or a member of the Financial Industry Regulatory Authority, Inc. or an entity engaged in the business of being a broker dealer.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Alliqua, Inc.), Securities Purchase Agreement (Celgene Corp /De/), Securities Purchase Agreement (Alliqua, Inc.)

Investor Status. At the time such the Investor was offered the Shares, Note it was, and at the date hereof it is, an “accredited investor,” as such term is defined in Rule 501(a) under the Securities Act. Such The Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 2 contracts

Samples: Note Purchase Agreement (Quepasa Corp), Note Purchase Agreement (Quepasa Corp)

Investor Status. At the time such the Investor was offered the SharesShares and/or Pre-Funded Warrants hereunder, it was, and at as of the date hereof it is, is either: (i) an “accredited investor” as defined in Rule 501(a501 of Regulation D promulgated under the Securities Act or (ii) a “qualified institutional buyer” as defined in Rule 144A under the Securities Act. Such The Investor is not required to be registered as a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 2 contracts

Samples: Form of Exchange Agreement (XpresSpa Group, Inc.), Form of Exchange Agreement (XpresSpa Group, Inc.)

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and at the date hereof it is, and on each date on which it exercises the Warrants it will be, an "accredited investor" as defined in Rule 501(a) under the Securities Act. Such Investor is not required to be registered as a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Dor Biopharma Inc), Securities Purchase Agreement (Dor Biopharma Inc)

Investor Status. At the time such Investor was offered the SharesSelling Stockholder Shares and Warrants, it was, and at the date hereof it is, an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Think Partnership Inc), Securities Purchase Agreement (Magnetar Capital Partners LP)

Investor Status. At the time such the Investor was offered the SharesSecurities, it was, and at the date hereof it is, and on each date on which it exercises the Warrant or converts the Note it will be, an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such The Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 2 contracts

Samples: Note Purchase Agreement (Abiomed Inc), Note Purchase Agreement (World Heart Corp)

Investor Status. At the time such the Investor was offered the SharesSecurities, it was, and at the date hereof it is, an "accredited investor" as defined in Rule 501(a) under the Securities Act. Such The Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 2 contracts

Samples: Purchase Agreement (Las Vegas Railway Express, Inc.), Credit Agreement (Communication Intelligence Corp)

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and at the date hereof it is, is an “accredited investor” as defined in Rule 501(a) under the Securities Act or a “qualified institutional buyer” as defined in Rule 144A(a) under the Securities Act. Such Investor is not a registered broker-broker dealer registered under Section 15 15(a) of the Exchange Act, or a member of the NASD, Inc. or an entity engaged in the business of being a broker dealer.

Appears in 2 contracts

Samples: Memberhsip Unit Purchase Agreement (Tauriga Sciences, Inc.), Securities Purchase Agreement (Tauriga Sciences, Inc.)

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and at the date hereof it is, and on each date on which it exercises the Warrants it will be, an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Point Therapeutics Inc), Securities Purchase Agreement (Yak Communications Inc)

Investor Status. At the time such Investor was offered the SharesShares and Warrants, it was, and at the date hereof it is, an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Sinohub, Inc.), Securities Purchase Agreement (Sinohub, Inc.)

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and at the date hereof it is, and at the Closing and on each date on which it exercises Warrants it will be, an “accredited investor” as defined in Rule 501(a501(a)(1), (a)(2), (a)(3), (a)(7) or (a)(8) under the Securities Act. Such Investor is not a registered broker-dealer under Section 15 of the Exchange ActAct or an entity engaged in a business that would require it to be so registered.

Appears in 1 contract

Samples: Securities Purchase Agreement (Motorcar Parts America Inc)

Investor Status. At the time such Investor was offered the Shares, it was, and at the date hereof it is, an “accredited investor” as defined in Rule 501(a) under the Securities Act or a “qualified institutional buyer” as defined in Rule 144A(a) under the Securities Act. Such Investor was not organized for the purpose of acquiring the Shares and is not required to be registered as a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 1 contract

Samples: Common Shares Purchase Agreement (LNB Bancorp Inc)

Investor Status. At the time such the Investor was offered the Shares, it was, and at the date hereof it is, an "accredited investor" as defined in Rule 501(a) under the Securities Act. Such The Investor is not a registered broker-dealer under Section 15 of the Exchange Act.. The Investor further certifies to the Company that the Investor is, as reflected by checking the appropriate box (or boxes) below and initialing next to such checked box (or boxes):

Appears in 1 contract

Samples: Unit Purchase Agreement (Maz Maria Camila)

Investor Status. At the time such the Investor was offered the SharesShares hereunder, it was, and at as of the date hereof it is, either: (i) an “accredited investor” as defined in Rule 501(a501 of Regulation D promulgated under the Securities Act or (ii) a “qualified institutional buyer” as defined in Rule 144A under the Securities Act. Such The Investor is not required to be registered as a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 1 contract

Samples: Amendment Agreement (Immune Pharmaceuticals Inc)

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and at the date hereof it is, an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such Investor is has not a registered broker-dealer under Section 15 been formed solely for the purpose of acquiring the Exchange ActSecurities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Buca Inc /Mn)

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and at the date hereof it is, and on each date on which it exercises Warrants it will be, an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such Investor is not a registered broker-dealer under Section 15 of the Exchange Act. Each Investor represents that it has been organized under the laws of the state or country set forth opposite its name on its signature page.

Appears in 1 contract

Samples: Purchase Agreement (ProsoftTraining)

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and at the date hereof it is, and on each date on which it exercises Warrants it will be, an "accredited investor" as defined in Rule 501(a) under the Securities Act. Such Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 1 contract

Samples: Securities Purchase Agreement (Index Oil & Gas Inc.)

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and at the date hereof it is, and on each date on which it exercises the Additional Investment Rights it will be, an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 1 contract

Samples: Securities Purchase Agreement (East West Bancorp Inc)

AutoNDA by SimpleDocs

Investor Status. At the time such the Investor was offered the SharesSecurities, it was, and at the date hereof it is, an ‘‘accredited investor’’ as defined in Rule 501(a) under the Securities Act. Such The Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 1 contract

Samples: Purchase Agreement (Tag Entertainment Corp)

Investor Status. At the time such Investor was offered the Shares, it was, and at the date hereof it is, was an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such Investor is not a registered broker-broker dealer under Section 15 of the Exchange Act.

Appears in 1 contract

Samples: Securities Purchase Agreement (China Agritech Inc)

Investor Status. At the time such Investor was offered the Shares, it was, and at the date hereof it is, an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 1 contract

Samples: Securities Purchase Agreement (China 3C Group)

Investor Status. At the time such Investor was offered the SharesNotes and the Warrants, it was, and at the date hereof it is, an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 1 contract

Samples: Securities Purchase Agreement (Genesis Pharmaceuticals Enterprises, Inc.)

Investor Status. At the time such Investor was offered the Shares, it was, and at the date hereof it is, an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such The Investor is not a registered broker-dealer under Section 15 of the Exchange 1934 Act.

Appears in 1 contract

Samples: Subscription Agreement (LIFE Power & Fuels LLC)

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and at the date hereof it is, an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such Investor is not a registered broker-broker or a dealer under Section 15 of the Exchange Act. Such Investor has such experience in business and financial matters that it is capable of evaluating the merits and risks of an investment in the Securities. Such Investor acknowledges that an investment in the Securities is speculative and involves a high degree of risk.

Appears in 1 contract

Samples: Securities Purchase Agreement (Data443 Risk Mitigation, Inc.)

Investor Status. At the time such the Investor was offered the SharesSecurities, it was, and at the date hereof it is, is an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such The Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 1 contract

Samples: Securities Purchase Agreement (Penford Corp)

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and at the date hereof it is, and on each date on which it exercises Warrants it will be, an "accredited investor" as defined in Rule 501(a) under the Securities ActAct and at each such time had, has, or will have, by reason of its business or financial experience, the capacity to protect its own interests in connection with its purchase of the Securities. Such Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 1 contract

Samples: Securities Purchase Agreement (Sys)

Investor Status. At the time such the Investor was offered the Shares, Note it was, and at the date hereof it is, an "accredited investor," as such term is defined in Rule 501(a) under the Securities Act. Such The Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 1 contract

Samples: Note Purchase Agreement (Mexicans & Americans Trading Together, Inc.)

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and at as of the date hereof it is, : (i) an “accredited investor” as defined in Rule 501(a501(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 Investor is not required to be registered as a registered broker-dealer under Section 15 of the Exchange ActAct and is neither employed by nor an Affiliate of a broker-dealer.

Appears in 1 contract

Samples: Securities Purchase Agreement (Cannabics Pharmaceuticals Inc.)

Investor Status. At the time such Investor was offered the Shares, it was, Shares and at the date hereof time of sale, it is, was an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such Investor is not a registered broker-dealer under Section 15 of the Exchange Act. Each Investor also has such sophistication, knowledge and skill as to be able to fully evaluate the risks of investing in the Company.

Appears in 1 contract

Samples: Securities Purchase Agreement (Sino Gas International Holdings, Inc.)

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and at the date hereof it is, and as of the Closing Date will be, an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 1 contract

Samples: Securities Purchase Agreement (Longwei Petroleum Investment Holding LTD)

Investor Status. At the time such the Investor was offered the SharesSecurities, it was, and at as of the date hereof hereof, it is, and on the Closing Date, it will be, an “accredited investor” as defined in Rule 501(a) under the Securities Act, and is not an entity formed for the sole purpose of acquiring the Securities. Such The Investor is not required to be registered as a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 1 contract

Samples: Securities Purchase Agreement (Cell Therapeutics Inc)

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and at the date hereof it is, an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such Investor is not a registered broker-dealer under Section 15 of the Exchange Act.Act and has completed and executed the Accredited Investor Questionnaire attached hereto as Exhibit C.

Appears in 1 contract

Samples: Securities Purchase Agreement (China Natural Gas, Inc.)

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and at the date hereof it is, and at the Closing and on each date on which it exercises Warrants it will be, an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 1 contract

Samples: Securities Purchase Agreement (Kintera Inc)

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and at the date hereof it is, an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 1 contract

Samples: Purchase Agreement (Intercloud Systems, Inc.)

Investor Status. At the time such the Investor was offered the Shares, it he was, and at the date hereof it he is, an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such The Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 1 contract

Samples: Securities Purchase Agreement (DHB Industries Inc)

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and at the date hereof it is, is an “accredited investor” as defined in Rule 501(a) under the Securities Act. Such Investor is not a registered broker-dealer under Section 15 of the Exchange Act. Such Investor has such experience in business and financial matters that it is capable of evaluating the merits and risks of an investment in the Securities. Such Investor acknowledges that an investment in the Securities is speculative and involves a high degree of risk.

Appears in 1 contract

Samples: Securities Purchase Agreement (China Valves Technology, Inc)

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and at the date hereof it is, is an "accredited investor" as defined in Rule 501(a) under the Securities Act. Such Investor is not a registered broker-dealer under Section 15 of the Exchange Act.

Appears in 1 contract

Samples: Securities Purchase Agreement (Vineyard National Bancorp)

Time is Money Join Law Insider Premium to draft better contracts faster.