Common use of Investor Status Clause in Contracts

Investor Status. At the time such Investor was offered the Shares, it was, and on 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 registered under Section 15(a) of the Exchange Act, nor required to be registered as such, or a member of The Financial Industry Regulatory Authority (“FINRA”) or an entity engaged in the business of being a broker dealer. Such Investor is not affiliated with any broker dealer registered under Section 15(a) of the Exchange Act, or a member of FINRA or an entity engaged in the business of being a broker dealer.

Appears in 12 contracts

Samples: Securities Purchase Agreement (Alseres Pharmaceuticals Inc /De), Securities Purchase Agreement (Alseres Pharmaceuticals Inc /De), Securities Purchase Agreement (Alseres Pharmaceuticals Inc /De)

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Investor Status. At the time such Investor was offered the SharesSecurities, it was, and on at the date hereof it is, and on the date which it exercises any Warrants it will be 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 dealer registered under Section 15(a) of the Exchange Act, nor required to be registered as such, or a member of The the Financial Industry Regulatory Authority Authority, Inc. (“FINRA”) or an entity engaged in the business of being a broker dealer. Such Investor is not affiliated with any broker dealer registered under Section 15(a) of the Exchange Act, or a member of FINRA or an entity engaged in the business of being a broker dealer.

Appears in 4 contracts

Samples: Unit Subscription Agreement (Flux Power Holdings, Inc.), Unit Subscription Agreement (Flux Power Holdings, Inc.), Unit Subscription Agreement (Flux Power Holdings, Inc.)

Investor Status. At the time such Investor was offered the Shares, it was, and on at the date hereof it is, and on the date which it exercises any Warrants it will be 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 dealer registered under Section 15(a) of the Exchange Act, nor required to be registered as such, or a member of The the Financial Industry Regulatory Authority Authority, Inc. (“FINRA”) or an entity engaged in the business of being a broker dealer. Such Investor is not affiliated with any broker dealer registered under Section 15(a) of the Exchange Act, or a member of FINRA or an entity engaged in the business of being a broker dealer.

Appears in 2 contracts

Samples: Subscription Agreement (Flux Power Holdings, Inc.), Subscription Agreement (Flux Power Holdings, Inc.)

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and on at the date hereof it is, and on the date which it exercises any Warrants it will be 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 dealer registered under Section 15(a) of the Exchange Act, nor required to be registered as such, or a member of The Financial Industry Regulatory Authority (“FINRA”) or an entity engaged in the business of being a broker dealer. Such Except as otherwise disclosed in writing to the Company on Exhibit B-2 (attached hereto) on or prior to the date of this Agreement, such Investor is not affiliated with any broker dealer registered under Section 15(a) of the Exchange Act, or a member of FINRA or an entity engaged in the business of being a broker dealer.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Alseres Pharmaceuticals Inc /De), Securities Purchase Agreement (Alseres Pharmaceuticals Inc /De)

Investor Status. At the time such The Investor was offered the Shares, it was, and on 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 The Investor is not a registered broker dealer registered under Section 15(a) of the Exchange Act, nor required to be registered as such, or a member of The the Financial Industry Regulatory Authority Authority, Inc. (“FINRA”) or an entity engaged in the business of being a broker dealer. Such Investor is not affiliated with any broker dealer registered under Section 15(a) of the Exchange Act, or a member of the FINRA or an entity engaged in the business of being a broker dealer. The Investor is a resident of the following jurisdiction: Delaware.

Appears in 2 contracts

Samples: Stock Purchase Agreement (Myrexis, Inc.), Stock Purchase Agreement (Xstelos Holdings, Inc.)

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and on 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 registered under Section 15(a) of the Exchange Act, nor required to be registered as such, or a member of The Financial Industry Regulatory Authority (“FINRA”) the FINRA or an entity engaged in the business of being a broker dealer. Such Except as otherwise disclosed in writing to the on or prior to the date of this Agreement, such Investor is not affiliated with any broker dealer registered under Section 15(a) of the Exchange Act, or a member of FINRA or an entity engaged in the business of being a broker dealer.

Appears in 1 contract

Samples: Securities Purchase Agreement (Ikanos Communications)

Investor Status. At the time such Investor was offered the SharesSecurities, it was, and on 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 registered under Section 15(a) of the Exchange Act, nor required to be registered as such, or a member of The the Financial Industry Regulatory Authority (“FINRA”) Authority, Inc. or an entity engaged in the business of being a broker dealer. Such Except as otherwise disclosed in writing to the Company, such Investor is not affiliated with any broker dealer registered under Section 15(a) of the Exchange Act, or a member of FINRA the Financial Industry Regulatory Authority, Inc. or an entity engaged in the business of being a broker dealer.

Appears in 1 contract

Samples: Note Purchase Agreement (Array Biopharma Inc)

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Investor Status. At the time such Investor was offered the Common Shares, it was, and on at the date hereof hereof, it is, an “accredited investor” as defined in Rule 501(a) of Regulation D promulgated under the Securities ActAct (“Accredited Investor”) or a “qualified institutional buyer” as defined in Rule 144A(a) under the Securities Act (“QIB”). Such Investor is not a registered broker dealer registered under Section 15(a) of the Exchange Act, nor required to be registered as such, or a member of The Financial Industry Regulatory Authority Authority, Inc. (“FINRA”) or an entity engaged in the business of being a broker dealer. Such On or prior to the date of this Agreement, such Investor is not affiliated with any broker dealer registered under Section 15(a) of the Exchange Act, or a member of FINRA or an entity engaged in the business of being a broker dealer.

Appears in 1 contract

Samples: Purchase Agreement (Cyclacel Pharmaceuticals, Inc.)

Investor Status. At the time such the Investor was offered the SharesSecurities, it was, and on at the date hereof it is, and on each date on which it exercises any Warrants, it will be 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 The Investor is not a registered broker dealer registered under Section 15(a) of the Exchange Act, nor required to be registered as such, or a member of The the Financial Industry Regulatory Authority (“FINRA”) or an entity engaged in the business of being a broker dealer. Such Investor is not affiliated with any broker dealer registered under Section 15(a) of the Exchange ActAuthority, or a member of FINRA Inc. or an entity engaged in the business of being a broker dealer.

Appears in 1 contract

Samples: Stock Purchase Agreement (VBI Vaccines Inc/Bc)

Investor Status. At the time such Investor was offered the Common Shares, it was, and on at the date hereof it is, is an “accredited investorInvestor” as defined in Rule 501(a) under the Securities Act. Such Investor is not a registered broker dealer registered under Section 15(a) of the Exchange Act, nor required to be registered as such, or a member of The Financial Industry Regulatory Authority (“FINRA”) FINRA or an entity engaged in the business of being a broker dealer. Such Except as otherwise disclosed in writing to the Company on or prior to the date of this Agreement, such Investor is not affiliated with any broker dealer registered under Section 15(a) of the Exchange Act, or a member of FINRA or an entity engaged in the business of being a broker dealer.

Appears in 1 contract

Samples: Securities Purchase Agreement (Ikanos Communications, Inc.)

Investor Status. At the time such Investor was offered the Shares, it was, and on at the date hereof it is, an “accredited investor” as defined in Rule 501(a) under the Securities 1933 Act. Such Investor is not a registered broker dealer registered under Section 15(a) of the Exchange Act, nor required to be registered as such, or a member of The Financial Industry Regulatory Authority (“FINRA”) or an entity engaged in the business of being a broker dealer. Such Investor is not affiliated with any broker dealer registered under Section 15(a) of the Exchange Act, or a member of FINRA or an entity engaged in the business of being a broker dealer. Except as otherwise disclosed in writing to the Company on or prior to the date of this Agreement, such Investor is not affiliated with any broker dealer registered under Section 15(a) of the 1934 Act, or a member of FINRA or an entity engaged in the business of being a broker dealer. Such Investor maintains his or her principal residence (in the case of an individual) or its principal executive office (in the case of an entity) at the location specified on its signature page hereto.

Appears in 1 contract

Samples: Purchase Agreement (hopTo Inc.)

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