Common use of Controlling Person Clause in Contracts

Controlling Person. Is the Investor, or is the Investor acting on behalf of any of: (i) any person that has discretionary authority or control with respect to the assets of the Issuer, (ii) any person who provides investment advice for a fee (direct or indirect) with respect to such assets or (iii) any “affiliate” of any of the above persons? “Affiliate” shall have the meaning set forth in the Plan Asset Regulations. Any of the persons described in the first sentence of this Section 7 is referred to in this Investor Questionnaire as a “Controlling Person.” ☒ Yes ☐ No

Appears in 1 contract

Sources: Subscription Agreement (JMP Group Inc.)

Controlling Person. Is the Investorinvestor, or is the Investor investor acting on behalf of any of: (i) any person that has discretionary authority or control with respect to the assets of the Issuer, (ii) any person who provides investment advice for a fee (direct or indirect) with respect to such assets or (iii) any "affiliate" of any of the above persons? "Affiliate" shall have the meaning set forth in the Plan Asset Regulations. Any of the persons described in the first sentence of this Section 7 is referred to in this Investor Questionnaire ERISA Subscription Agreement as a "Controlling Person.” ☒ " ☐ Yes ☐ No

Appears in 1 contract

Sources: Indenture (JMP Group LLC)