Investment Guidelines and Restrictions Sample Clauses

Investment Guidelines and Restrictions a) The ISA Manager may only purchase such Account Investments as it is permitted to in accordance with the Regulations in relation to the stocks and shares component and in line with the Values Based Investment Questionnaire agreed with the Account Investor as part of the Terms of Service;
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Investment Guidelines and Restrictions. Client instructs Advisor to take into account the following guidelines and restrictions in managing the account:
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Investment Guidelines and Restrictions. The assets of the Fund will be invested and reinvested primarily in common stocks and other equity-type securities issued by small to medium-sized companies (those with market capitalizations of $100 million to $20 billion at the time of investment), provided that the Trustee may invest a portion of the assets of the Fund in other equity-type securities, such as convertible securities, preferred stock and warrants, and may invest all or any portion of the assets of the Fund in accordance with Section 3.03(c) of the Declaration of Trust. The Trustee may also invest in non-equity securities, including investment grade bonds and debentures and high quality short-term instruments, if the Trustee, in the reasonable exercise of its fiduciary discretion, determines that such investments may contribute to the attainment of the Fund’s investment objective. The Trustee shall not invest more than 20% of the assets of the Fund in non-equity securities or in companies that do not meet the market capitalization criteria set forth above, except under the circumstances enumerated in Section 3.03(c) of the Declaration of Trust. The Fund may invest in securities of foreign companies whose stocks are traded on United States stock exchanges or over-the-counter markets. Securities of such foreign companies may be held by the Fund directly or indirectly through American Depository Receipts (“ADRs”). The Fund may not make an investment if that investment would cause more than 20% of the portion of the Fund’s assets for which a particular Investment Advisor is responsible to be invested in foreign securities, including ADRs. The Fund may seek to replicate an index, or other basket of securities, that is comprised of securities consistent with the Fund’s objective. Some of the investments of the Fund may be made through collective investment funds maintained by the Trustee, its affiliates or other banks, so long as such collective investment funds comply with the investment guidelines and restrictions described herein. It is the intention of the Trustee not to cause the Fund to invest in derivative instruments, except to the extent set forth in the Prospectus of the Collective Trust from time to time in effect pursuant to which the Units of the Fund may be issued (the “Prospectus”). The Trustee may in the future modify such investment policy as it relates to the Fund. The Fund will not, except as otherwise contemplated by the Prospectus:
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Investment Guidelines and Restrictions. The Client shall make available to Adviser such information as to the Client’s investments, investment portfolio requirements, quantitative requirements, liability and such other information as will reasonably enable Adviser to furnish the services under this Agreement. including Exhibit A and each Schedule A attached hereto, a statement of the requirements, if any, imposed by law upon the type, distribution and quality of the investments (or by other law applicable to the Client’s business with respect to the investments) and such investment policies, objectives and guidelines as the Client shall state (collectively, the “Investment Guidelines”). The Investment Guidelines set forth in Exhibit A are the guidelines developed by the New York Department of Financial Services and represent outer boundary guidelines for the Account. The Investment Guidelines set forth in each Schedule A will represent the actual investment guidelines that are adopted for the particular Customer Account and which comply with the parameters set forth in the outer boundary guidelines set forth in Exhibit A. The Investment Guidelines on Exhibit A and each Schedule A attached hereto may be amended from time to time by the Client. However, no amendment to the Investment Guidelines set forth in Exhibit A shall be effective unless they are “non-disapproved” by the New York Department of Financial Services. To the extent the Client provides Adviser with its overall investment policy or other governing documents, Adviser shall be responsible for, and shall construe as “Investment Guidelines” only, the portion of the investment policy relating to Adviser’s activities with respect to the Customer Account. The Client shall communicate any changes or amendments to the Investment Guidelines to Adviser in writing at least thirty (30) business days before the date on which they shall become effective; provided, however, that in the event that the change to the Investment Guidelines is deemed by Advisors to reasonably require more than 30 days to implement the change, the execution date of the change will be agreed to jointly by Advisor and Client. The Client agrees to give Advisor prompt written notice if the Client believes any Account recommendations, advice or investments are in violation of the Investment Guidelines. Client understands and acknowledges that, to the extent the Investment Guidelines impose such restrictions or otherwise limit the full exercise of discretionary authority by Ad...
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Investment Guidelines and Restrictions. (As of November 1, 2016) General Guidelines For the purposes of these Investment Guidelines and Restrictions, the “St. Xxx Investment Portfolio” shall refer to all funds that St. Xxx collectively places in its investment portfolio custodied with Xxxxxxxxx, LLC and managed by FTC or FCM. As of November 1, 2016, the St. Xxx Investment Portfolio consisted of three separate accounts created in the name of The St Xxx Company or one of its subsidiaries, custodied with Xxxxxxxxx LLC and managed by FTC or FCM. Compliance with these investment guidelines will be determined, assuming a transaction has occurred, at the time of purchase for each potential investment (or if an investment does not occur on a recognized securities exchange, the date that a binding commitment to execute such transaction is entered into), based on the transaction price. All investments are to be evaluated under these Investment Guidelines and Restrictions in relation to the cumulative market value of all funds in the St. Xxx Investment Portfolio at the time of purchase for the investment. Specific Restrictions
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Investment Guidelines and Restrictions. 1. Under normal market conditions, at least 80% of the Fund’s net assets (defined as net assets plus the amount of any borrowing for investment purposes) in both long and short positions will be invested in equity securities of “real estate” companies and “real estate related” companies (as defined in its then-current Prospectus).
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Investment Guidelines and Restrictions. ​ (As of February 23, 2021) ​ ​ General Guidelines For the purposes of these Investment Guidelines and Restrictions, the “St. Xxx Investment Portfolio” shall refer to St. Xxx Company brokerage accounts managed by Fairholme Capital Management LLC (“Manager”). ​ Restrictions listed on this Schedule B dated February 23, 2021 compose all St. Xxx Investment Portfolio restrictions for transactions by the Manager (“Specific Restrictions”). Specific restrictions from previous Investment Guidelines and Restrictions are terminated. ​ The Manager will review its compliance with Specific Restrictions before a securities transaction. ​ Specific Restrictions Securities for purchase must be issues of the U.S. Treasury or U.S. Treasury Money Market Funds. ​ Authorized Signatories ​ ​ ​ ​ ​ ​ FAIRHOLME CAPITAL MANAGEMENT, L.L.C. ​ ST. XXX COMPANY ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ By: /s/ Xxxxx Xxxxxxx ​ By: /s/ Xxxxx Xxxxx ​ ​ ​ ​ ​ Name: Xxxxx Xxxxxxx ​ Name: Xxxxx Xxxxx ​ ​ ​ ​ ​ Title: Chief Financial Officer ​ Title: EVP and Chief Financial Officer ​ ​ ​ ​ ​ Date: February 23, 2021 ​ Date: February 23, 2021 ​ ​ ​ ​ ​ ​
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Investment Guidelines and Restrictions. 16.1. The Manager and the Client have agreed:
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Investment Guidelines and Restrictions. The Program has adopted the following investment restrictions and guidelines (the "Investment Guidelines"). The Program will not:
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Related to Investment Guidelines and Restrictions

  • Investment Objectives, Policies and Restrictions The Trust will provide Adviser with the statement of investment objectives, policies and restrictions applicable to the Fund as contained in the Trust's registration statements under the Act and the Securities Act of 1933, and any instructions adopted by the Trustees supplemental thereto. The Trust will provide Adviser with such further information concerning the investment objectives, policies and restrictions applicable thereto as Adviser may from time to time reasonably request. The Trust retains the right, on written notice to Adviser from the Trust, to modify any such objectives, policies or restrictions in any manner at any time.

  • Investment Guidelines In addition to the information to be provided to the Sub-Advisor under Section 2 hereof, the Trust or the Advisor shall supply the Sub-Advisor with such other information as the Sub-Advisor shall reasonably request concerning the Fund’s investment policies, restrictions, limitations, tax position, liquidity requirements and other information useful in managing the Fund’s investments.

  • INVESTMENT OBJECTIVE, POLICIES AND RESTRICTIONS The Fund will provide the Sub-Adviser with the statement of investment objective, policies and restrictions applicable to the Series as contained in the Series' Prospectus and Statement of Additional Information, all amendments or supplements to the Prospectus and Statement of Additional Information, and any instructions adopted by the Board of Trustees supplemental thereto. The Fund agrees, on an ongoing basis, to notify the Sub-Adviser in writing of each change in the fundamental and non-fundamental investment policies of the Series and will provide the Sub-Adviser with such further information concerning the investment objective, policies, restrictions and such other information applicable thereto as the Sub-Adviser may from time to time reasonably request for performance of its obligations under this Agreement. The Fund retains the right, on written notice to the Sub-Adviser or the Adviser, to modify any such objective, policies or restrictions in accordance with applicable laws, at any time.

  • Rights and Restrictions The Restricted Share Units shall not be transferable, other than pursuant to will or the laws of descent and distribution. Prior to vesting of the Restricted Share Units and delivery of the Shares to the Employee following his termination of employment, the Employee shall not have any rights or privileges of a shareholder as to the Shares subject to the Award. Specifically, the Employee shall not have the right to receive dividends or the right to vote such Shares prior to vesting of the Award and delivery of the Shares.

  • Basic Restrictions (i) (1) No Person, other than an Excepted Holder, shall Beneficially Own or Constructively Own Shares in excess of the Aggregate Ownership Limit, (2) no Person, other than an Excepted Holder, shall Beneficially Own or Constructively Own Common Shares in excess of the Common Share Ownership Limit and (3) no Excepted Holder shall Beneficially Own or Constructively Own Shares in excess of the Excepted Holder Limit for such Excepted Holder.

  • Stock Restrictions Optionee understands that at the time of the execution of this Option Agreement, the shares of the Stock issuable upon exercise of this Option have not been registered under the Securities Act of 1933, as amended (the "Act"), or under any state securities law, and that the Company currently does not intend to effect any such registration. Optionee agrees that the shares of the Stock which Optionee may acquire by exercising this Option shall be purchased by Optionee for investment without a view to distribution within the meaning of the Act, and shall not be sold, transferred, assigned, pledged, or hypothecated unless such transfer has been registered under the Act and applicable state securities laws, or the transfer duly qualifies for an applicable exemption from the registration requirements of the Act and any applicable state securities laws. In any event, Optionee agrees that the shares of the Stock which Optionee may acquire by exercising this Option shall not be sold or otherwise disposed of in any manner which would constitute a violation of any applicable securities laws, whether federal or state. In addition, Optionee agrees that (i) the certificates representing the shares of the Stock purchased under this Option may bear such restrictive legend or legends as the Company's legal counsel deems appropriate in order to assure compliance with applicable securities laws, (ii) the Company may refuse to register the transfer of the shares of the Stock purchased under this Option on the stock transfer records of the Company if such proposed transfer would, in the opinion of counsel satisfactory to the Company, constitute a violation of any applicable securities laws, and (iii) the Company may give related instructions to its transfer agent to stop registration of the transfer of the shares of Stock purchased under this Option.

  • Activity Restrictions For so long as Investor or any of its Affiliates holds any Shares, neither Investor nor any Affiliate will: (1) vote any shares of Common Stock owned or controlled by it, sign or solicit any proxies, attend or be present at a shareholder meeting for purposes of determining a quorum, or seek to advise or influence any Person with respect to any voting securities of Company, except in accordance with the recommendation of Company’s board of directors; (2) engage or participate in any actions, plans or proposals which relate to or would result in (a) acquiring additional securities of Company, alone or together with any other Person, which would result in beneficially owning or controlling more than 9.99% of the total outstanding Common Stock or other voting securities of Company, (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving Company or any of its Subsidiaries, (c) a sale or transfer of a material amount of assets of Company or any of its Subsidiaries, (d) any change in the present board of directors or management of Company, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board, (e) any material change in the present capitalization or dividend policy of Company, (f) any other material change in Company’s business or corporate structure, including but not limited to, if Company is a registered closed-end investment company, any plans or proposals to make any changes in its investment policy for which a vote is required by Section 13 of the Investment Company Act of 1940, (g) changes in Company’s charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of Company by any Person, (h) a class of securities of Company being delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association, (i) a class of equity securities of Company becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act, or (j) any action, intention, plan or arrangement similar to any of those enumerated above; or (3) request Company or its directors, officers, employees, agents or representatives to amend or waive any provision of this section.

  • Dividend Restrictions No subsidiary of the Company is prohibited or restricted, directly or indirectly, from paying dividends to the Company, or from making any other distribution with respect to such subsidiary’s equity securities or from repaying to the Company or any other subsidiary of the Company any amounts that may from time to time become due under any loans or advances to such subsidiary from the Company or from transferring any property or assets to the Company or to any other subsidiary.

  • Securities Restrictions Notwithstanding anything herein contained, Common Shares will be issued upon exercise of a Warrant only in compliance with the securities laws of any applicable jurisdiction.

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