Covered Securities means any note, stock, treasury stock, security future, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, any put, call, straddle, option, or privilege on any security (including a certificate of deposit) or on any group or index of securities (including any interest therein or based on the value thereof), or any put, call, straddle, option, or privilege entered into on a national securities exchange relating to foreign currency, or, in general, any interest or instrument commonly known as a "security", or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase any of the foregoing.
Covered Securities means all of the Owned Securities and any Additional Securities.
Covered Securities means any stock, bond, future, options on securities, indexes, or currencies; shares of open-end mutual funds that are advised or sub-advised by KAR including affiliated mutual funds; all kinds of limited partnerships; foreign based unit trust and foreign based mutual funds; private investment funds, hedge funds, investment clubs, and any other instrument that is considered a "security" under the Investment Advisers Act of 1940.
Examples of Covered Securities in a sentence
Each Supervised Person is required to provide an Initial Holdings Report listing all holdings in Covered Securities with the CCO (or such other person designated by the CCO) within 10 days after first becoming a Supervised Person.
Each Supervised Person must also file with the CCO (or such other person designated by the CCO) periodic reports of personal transactions in Covered Securities within 30 days after the end of each calendar quarter Each Supervised Person must file a Quarterly Transactions Report even if no purchases or sales of securities are made during the period covered by the report.
More Definitions of Covered Securities
Covered Securities means any financial instrument that is known as a security and as defined in detail in Section 202(a)(18) of the Advisers Act, EXCEPT, for purposes of this Code, it does not include securities issued by the U.S. Government, bank certificates of deposit, bankers’ acceptance, commercial paper, high quality short-term debt instruments, money market instruments, or shares of registered open end investment companies (mutual funds) as long as MSA is not advising such mutual funds.
Covered Securities means SDOs and/or ROs issued under this Base Prospectus.
Covered Securities has the meaning set forth in Section 3(a).
Covered Securities means a security as defined in section 2(a)(9) of the Investment Company Act of 1940, except that it does not include (i) direct obligations of the Government of the United States; Banker’s acceptances, bank certificates of deposit, commercial paper, and high quality short-term debt instruments, including repurchase agreements; and shares issued by open-end funds.
Covered Securities generally means stocks, bonds and options. The same limitations pertain to transactions in a security related to a Covered Security, such as an option to purchase or sell a Covered Security and any security convertible into or exchangeable for a Covered Security.
Covered Securities means Common Stock and any securities convertible into or exercisable or exchangeable for Common Stock that are not Excluded Securities.
Covered Securities means any shares of Common Stock.