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manner to persons or institutions other than <br /> the foregoing. <br /> Colorado To any depository institution, insurance <br /> company, separate account of an insurance <br /> company, investment company or business <br /> development company as defined in the <br /> Investment Company Act of 1940, private <br /> business development company as defined in the <br /> Investment Advisers Act of 1940, employee <br /> pension, profit-sharing or benefit plan (if <br /> the plan has total assets in excess of <br /> $5, 000, 000 or its investment decisions are <br /> made by a named fiduciary, as defined in the <br /> Employee Retirement Income Security Act of <br /> 1974, that is either a broker-dealer <br /> registered under the Securities Exchange Act <br /> of 1934, an investment adviser registered or <br /> exempt from registration under the Investment <br /> Advisers Act of 1940, a depository institution <br /> or an insurance company) , any entity, other <br /> than an individual, a substantial part of <br /> whose business activities consists of <br /> investing, purchasing, selling or trading in <br /> securities of more than one issuer and not of <br /> its own issue and that has total assets in <br /> excess of $5, 000, 000 at the end of its latest <br /> fiscal year, small business investment company <br /> licensed by the Small Business Administration, <br /> or other institutional buyer, or to any <br /> broker-dealer, whether the purchaser is acting <br /> for itself or in some fiduciary capacity, <br /> provided that the person making the sale, if <br /> not licensed, is registered as a broker or <br /> dealer under the Securities Exchange Act of <br /> 1934, has no place of business in Colorado and <br /> effects transactions in Colorado exclusively <br /> with or through such persons or institutions. <br /> Connecticut To any state bank and trust company, national <br /> banking association, savings bank, savings and <br /> loan association, federal savings and loan <br /> association, credit union, federal credit <br /> union, trust company, insurance company, <br /> investment company as defined in the <br /> Investment Company Act of 1940, pension or <br /> profit-sharing trust, or other financial <br /> institution or institutional buyer, or to any <br /> broker-dealer, whether the purchaser is acting <br /> for itself or as trustee, provided that the <br /> person making the sale, if not registered, has <br /> no place of business in Connecticut and <br /> effects transactions in Connecticut <br /> 4 <br />