Exempt Securities has the meaning set forth in Section 4.4(d).
Exempt Securities means (i) shares of Common Stock issued upon the exercise of the Warrants, (ii) shares of capital stock issued by the Company on or prior to the date hereof (and shares of capital stock issued upon the direct or indirect conversion or exercise of any securities issued by the Company on or prior to the date hereof, in accordance with their respective terms), (iii) shares of Common Stock issued pursuant to a public offering, (iv) shares of Common Stock (including shares issuable upon the exercise or exchange of warrants or options to acquire shares of Common Stock) issued solely to the employees, directors or consultants of the Company or any of its subsidiaries pursuant to a stock option or ownership plan or program or any stock issuance arrangement in existence as of the Issue Date or adopted by the Board of Directors of the Company and approved by a majority of the Company’s Common Stock holders after the Issue Date, representing not more than 7% of the total common equity of the Company determined on a fully-diluted basis as of the Issue Date, and (v) shares of Company capital stock issued upon the direct or indirect conversion or exercise of any of the forgoing securities, in accordance with their terms.
Exempt Securities means Securities for which no prospectus is required to be published under the Prospectus Regulation;
Examples of Exempt Securities in a sentence
In relation to any particular Securities (other than Exempt Securities), you should read this Base Prospectus (including the documents which are incorporated by reference) together with the relevant Final Terms.
Pricing Supplement A separate "Pricing Supplement" document will be prepared for each issuance of Exempt Securities and will set out the specific details of the Securities.
In addition, if required under the Prospectus Directive, an issue-specific summary will be annexed to the relevant Final Terms for each tranche of Securities (other than Exempt Securities), which will contain a summary of key information relating to the relevant Issuer, the Securities, the risks relating to the relevant Issuer and the Securities, and other information relating to the Securities.
Final Terms A separate "Final Terms" document will be prepared in respect of each issuance of Securities (other than Exempt Securities) and will set out the specific details of the Securities.
In relation to any particular Exempt Securities, you should read this Base Prospectus (including the documents which are incorporated by reference) together with the relevant Pricing Supplement.
More Definitions of Exempt Securities
Exempt Securities means any shares of Common Stock issued by the Borrower after the date of issuance of this Note that are: (i) shares issued or issuable upon the exercise of any warrants or options outstanding as of the original date of the issuance of this Note (including any warrants issued in connection with the issuance of the Promissory Notes); (ii) shares of Common Stock or common stock equivalents issued in connection with a bona-fide strategic transaction, partnership, joint venture or acquisition or (iii) shares of Common Stock issued in connection with any stock-based compensation plans of the Borrower, or any issuance of Common Stock, stock awards or options under, or the exercise of options granted pursuant to, any Board approved employee stock option or similar plan for the issuance of options or capital stock of the Borrower.
Exempt Securities means Capital Stock received or acquired by the Shareholder or Shareholder Affiliate in accordance with the terms and conditions hereof, including any Capital Stock acquired by a Shareholder or Shareholder Affiliate through index trading or on the open market, other than as Share Consideration (as defined in the Business Combination Agreement) pursuant to the Business Combination Agreement.
Exempt Securities means the Securities listed below. "Security" or "non-exempt Security" means ALL Securities EXCEPT those listed below.
Exempt Securities means the Securities listed below. “Security” or “non-exempt Security” means ALL Securities EXCEPT those listed below. Note that exchange traded funds (ETFs) are no longer classified as exempt securities.
Exempt Securities means the issuance of (a) Warrant Shares or other securities issuable pursuant to the Warrants; (b) securities of the Corporation issued upon the exercise, conversion or exchange of securities of the Corporation issued prior to the date hereof; (c) shares of Common Stock or other Corporation securities issued or issuable as a result of adjustments under Section 4 or other applicable provisions of the Series B Certificate of Designation or similar provisions of other convertible securities; (d) any securities of the Corporation issued in exchange for assets or securities in a merger, consolidation, sale or purchase of assets or other business combination transaction approved by the Board of Directors; (e) any securities issuable or any adjustment made or to be made to the Warrants or Warrant Shares under Article 4 of this Agreement; (f) any rights or other securities issued or issuable pursuant to a stockholder rights agreement under which the Board of Directors would declare a dividend of one preferred (or common) share purchase right for each outstanding share of Common Stock provided that such stockholder rights agreement results in equivalent dividends on Warrant Shares; (g) any shares of Common Stock pursuant to any plan providing for the reinvestment of dividends or interest payable on securities of the Corporation and the investment of additional optional amounts in shares of Common Stock under any such plan; (h) any shares of Common Stock in a public offering registered under the Securities Act; (i) any shares of Common Stock or options or rights to purchase such shares pursuant to any stock option or bonus plan or plans now or hereafter adopted by the Corporation (including any stock appreciation rights or employee stock ownership plan) for the benefit of directors, officers, employees and/or consultants of the Corporation and/or its subsidiaries or pursuant to any employee benefit plan or program now or hereafter adopted by the Corporation for the benefit of its employees and/or employees of its subsidiaries, or pursuant to any specific grant not pursuant to any plan or program that is approved by the Corporation's Board of Directors; or (j) the issuance or repurchase of Corporation securities on or prior to the date the Warrants are first issued (or any subsequent issuances of Common Stock, 9% Preferred Stock or Series B Preferred Stock issued pursuant to warrants, options or rights previously granted, outstanding or issued on the date the Warran...
Exempt Securities means shares of Common Stock issued after the Execution Date (other than shares issued as a result of the exercise of options on issue as on the Execution Date) to employees, officers, directors, consultants, other persons performing services for the Company pursuant to any stock option plan, or similar equity based compensatory arrangement approved by a majority of the Board of Directors not exceeding 6.5 million shares;
Exempt Securities means Instruments for which no prospectus is required to be published under Regulation (EU) 2017/1129 (as amended) or Regulation (EU) 2017/1129 as it forms part of UK domestic law by virtue of the European Union (Withdrawal) Act 2018 (as amended) and regulations made thereunder, as applicable (or in respect of which a separate prospectus other than the Base Prospectus under the Programme will be published under the applicable regulation);"; (c) deleting the definition of "ISDA Benchmarks Supplement" under section 2(a) (Definitions) on page 147 of the Original Base Prospectus; (d) deleting the definition of "Prospectus Regulation" under section 2(a) (Definitions) on page 154 of the Original Base Prospectus in its entirety; (e) deleting general condition 28 (Substitution) on page 203 in its entirety and replacing it with the following: