“Financial or institutional investor” defined

“Financial or institutional investor” means any of the following, whether acting for itself or others in a fiduciary capacity other than as an agent:

1. A depository institution;

2. An insurance company;

3. A separate account of an insurance company;

4. An investment company as defined in the Investment Company Act of 1940; 1

5. An employee pension, profit-sharing, or benefit plan if the plan has total assets in excess of $5,000,000 or its investment decisions are made by a named fiduciary, as defined in the Employee Retirement Income Security Act of 1974, 2 that is either a broker-dealer registered under the Securities Exchange Act of 1934, 3 an investment adviser registered or exempt from registration under the Investment Advisers Act of 1940, 4 a depository institution, or an insurance company; and

6. Any other institutional buyer.

1 15 USCA § 80a-1 et seq.

2 29 USCA § 1001 et seq.

3 15 USCA § 78a et seq.

4 15 USCA § 80b-1 et seq.