Ag Ventures Alliance wants to know if you qualify as an “accredited investor”. Some businesses can only accept investments from “accredited investors”.
According to federal and state securities laws, you qualify as an accredited investor if you meet one or
more of the nine definitions listed below. Please interpret “income” in item 1 as “gross income”.
(1) Any natural person who had an individual income in excess of $200,000 in each of the two most
recent years or joint income with that person’s spouse in excess of $300,000 in each of those years and
has a reasonable expectation of reaching the same income level in the current year.
(2) Any natural person whose individual net worth (assets less liabilities), or joint net worth with his
or her spouse, exceeds $1,000,000, excluding the value of the undersigned’s primary residence, and
excluding indebtedness that is secured by the undersigned’s primary residence, up to the estimated fair
market value of the undersigned’s primary residence. Please contact Ag Ventures Alliance to discuss this
matter if you recently increased the amount of the indebtedness secured by your primary residence.
(3) Any organization described in section 501(c)(3) of the Internal Revenue Code; any corporation,
Massachusetts or similar business trust, or partnership not formed for the specific purpose of acquiring the
securities offered, with total assets in excess of $5,000,000.
(4) Any director, executive officer, or general partner of the issuer of the securities being offered or
sold, or any director, executive officer, or general partner of a general partner of that issuer.
(5) Any entity in which all of the equity owners are “accredited investors” under the 1933 Act. This
item is not available to an irrevocable trust.
(6) Any private business development company as defined in section 202(a)(22) of the Investment
Advisers Act of 1940.
(7) Any trust, with total assets in excess of $5,000,000, not formed for the specific purpose of
acquiring the securities offered, whose purchase is directed by a sophisticated person as described in
Rule 506(b)(2)(ii) under the 1933 Act.
(8) Any corporation, Massachusetts or similar business trust, or partnership, not formed with the
specific purpose of acquiring the securities offered, with assets in excess of $5,000,000.
(9) Any bank as defined in section 3(a)(2) of the 1933 Act, or any savings and loan association or
other institution as defined in section 3(a)(5)(A) of the 1933 Act, whether acting in its individual or
fiduciary capacity; any broker or dealer registered pursuant to section 15 of the Securities Exchange Act
of 1934; insurance company as defined in section 2(13) of the 1933 Act; investment company registered
under the Investment Company Act of 1940 or a business development company as defined in
section 2(a)(48) of that Act; Small Business Investment Company licensed by the U.S. Small Business
Administration under section 301(c) or (d) of the Small Business Investment Act of 1958; employee
benefit plan within the meaning of Title I of the Employee Retirement Income Security Act of 1974, if the
investment decision is made by a plan fiduciary, as defined in section 3(21) of such Act, which is either a
bank, savings and loan association, insurance company, or registered investment adviser, or if the
employee benefit plan has total assets in excess of $5,000,000 or, if a self-directed plan, with investment
decisions made solely by persons who are accredited investors.
Please indicate below if you believe you qualify as an accredited investor. The purpose is only to identify
accredited investors who may qualify for certain investment opportunities. Actual certification as an
accredited investor will occur at the time you seek to invest in a business offering securities only to