Transactions in Securities. The Company has questioned its directors and executive officers concerning known stock transfers since December 31, 1999 and based upon that investigation the Company has not, and to the Company's knowledge (a) no director or officer of the Company or the Company's Subsidiaries, (b) no Person related to any such director or officer by blood, marriage or adoption and residing in the same household and (c) no Person who has been knowingly provided material nonpublic information by any one or more of these Persons, has purchased or sold, or caused to be purchased or sold, any shares of Company Common Stock or other securities issued by the Company (i) during any period when the Company was in possession of material nonpublic information or (ii) in violation of any applicable provision of the Exchange Act.
Transactions in Securities. 26.1 – Transactions in securities not requiring instructions from the Client The Bank carries out all routine administrative duties and in particular the collection of prof its and rev enues (coupons, div idends, etc.) pertaining to the Client’s f inancial securities in accordance with Market rules and practices.
Transactions in Securities. 4.1 The Client authorizes EISHK to instruct such executing brokers and overseas brokers and dealers (including XXXXX’x Associate) as EISHK may in its absolute discretion deem fit to execute any Transactions in Securities and acknowledges that the terms of business of such executing brokers and overseas brokers and dealers and the applicable Rules of any relevant exchange and/or Clearing System on and through which such Transactions in Securities are executed and settled shall apply to such Transactions in Securities.
Transactions in Securities. During the period from the commencement of negotiations between such Purchaser and the Company with respect to the transactions contemplated by this Agreement and the date hereof, such Purchaser has not established a short position with respect to the Company’s Common Stock.
Transactions in Securities. 46 5.37. DISCLOSURE.........................................................................................47
Transactions in Securities. (i)Since December 31, 2019, all offers and sales of Company Capital Stock by the Company were at all relevant times exempt from, or complied with, the registration requirements of the Securities Act.
Transactions in Securities. (i) All offers and sales of First Mutual Common Stock by First Mutual were at all relevant times exempt from or complied with the registration requirements of the Securities Act.
Transactions in Securities. All offers and sales of capital stock or debt instruments of Stewardship by Stewardship (including offers and sales pursuant to the Stewardship Equity Incentive Plan and the Stewardship Dividend Reinvestment Plan) were at all relevant times exempt from, or complied with, the registration requirements of the Securities Act and any applicable state securities Laws.
Transactions in Securities. (i) Since January 1, 2020, all offers and sales of TCFC Common Stock by TCFC were at all relevant times exempt from, or complied with, the registration requirements of the Securities Act.
Transactions in Securities. (i) Since January 1, 2020, all offers and sales of SHBI Common Stock by SHBI were at all relevant times exempt from, or complied with, the registration requirements of the Securities Act.
