Fund Transactions definition

Fund Transactions means (i) adoption by or on behalf of such Fund of (A) an investment management agreement with the applicable Acquired Subsidiary (which agreement shall be in form and substance substantially identical to such Fund's existing investment management agreement with such Acquired Subsidiary), (B) an underwriting agreement on behalf of such Fund with an appropriately licensed Affiliate of Purchaser, (which agreement shall be in form and substance substantially identical to the existing underwriting agreement with such Fund), provided, however, that this clause (B) shall not apply to any Fund which as of the date hereof does not have an underwriting agreement with an Affiliate of Sellers, and (C) administrative services, transfer agency services and pricing and book-keeping services agreements with the applicable Acquired Subsidiaries with respect to other services provided to the Funds (which agreements shall be in form and substance substantially identical to such Funds' existing agreements with such Acquired Subsidiaries for such services), with each such agreement to be effective upon the Closing and (ii) all required actions under federal or state securities Laws in connection with the foregoing.
Fund Transactions means the reorganizations of each of the FBR Large Cap Fund, the FBR Small Cap Fund and the FBR Mid Cap Fund into the Xxxxxxxx Cornerstone Large Growth Fund, the Xxxxxxxx Cornerstone Growth Fund and the Xxxxxxxx Focus 30 Fund, respectively; and the reorganizations of each of the FBR Focus Fund, the FBR Gas Utility Index Fund, the FBR Small Cap Financial Fund, the FBR Large Cap Financial Fund, the FBR Technology Fund, the FBR Balanced Fund and the FBR Core Bond Fund into the Xxxxxxxx Select Focus Fund, the Xxxxxxxx Select Gas Utility Index Fund, the Xxxxxxxx Select Small Cap Financial Fund, the Xxxxxxxx Select Large Cap Financial Fund, the Xxxxxxxx Select Technology Fund, the Xxxxxxxx Select Balanced Fund and the Xxxxxxxx Select Core Bond Fund, respectively (“Shell Merger Reorganizations”).
Fund Transactions means the reorganization of the Xxxxxxx Funds into Xxxxxxxx Funds as follows: (i) Xxxxxxx Communications Fund reorganized into Xxxxxxxx Cornerstone Growth Fund; (ii) Xxxxxxx Growth & Income Fund reorganized into Xxxxxxxx Cornerstone Value Fund; (iii) Xxxxxxx Large-Cap Growth Fund reorganized into Xxxxxxxx Total Return Fund; (iv) Xxxxxxx Market Neutral Fund reorganized into Xxxxxxxx Balanced Fund; and (v) Xxxxxxx Small-Cap Growth Fund reorganized into Xxxxxxxx Cornerstone Growth Fund.

Examples of Fund Transactions in a sentence

  • Certain Fund Transactions (e.g., when-issued securities, delayed delivery transactions, and reverse repurchase agreements) require the Fund to segregate liquid assets sufficient to cover the future liability involved in these transactions.

  • Closed End Fund Transactions Transactions involving any closed end fund managed by DoubleLine must be pre-approved without exception.

  • Accordingly, employees may not disclose current portfolio holdings, Fund Transactions, or Securities Transactions proxy vote or corporate action made or contemplated, personal client or fellow employee personal information or any other non-public information to anyone outside of ALPS, without approval from the CCO or the Ethics Committee.

  • Access Persons that had no Covered Securities Transactions and/or Monitored Fund Transactions during a calendar quarter are not required to submit a Transaction Report (Appendix 10).

  • Connected Person means the persons defined as such in the section entitled Fund Transactions and Conflicts of Interest.

  • In accordance with Sections VI.D. and VI.E. of the Code, I will report all new accounts opened on a quarterly basis that may hold Covered Securities or hold Monitored Funds in which I have a Beneficial Interest and provide at least quarterly transaction reports in all Covered Securities Transactions and Monitored Fund Transactions in which I have or acquire a Beneficial Interest.

  • In accordance with Sections VI.D. and VI.E. of the Code, I have reported all new accounts opened on a quarterly basis that may hold Covered Securities or hold Monitored Funds in which I have a Beneficial Interest and provided at least quarterly transaction reports in all Covered Securities Transactions and Monitored Fund Transactions in which I have or acquired a Beneficial Interest.

  • Market Timing Mutual Fund Transactions Access Persons shall not participate in any activity that may be construed as market timing of mutual funds.

  • I have read the definition of “Beneficial Interest” and understand that I may be deemed to have a Beneficial Interest in Covered Securities and Monitored Funds owned by members of my Immediate Family and that Covered Securities Transactions and Monitored Fund Transactions effected by members of my Immediate Family may therefore be subject to this Code.

  • I have read the definition of “Beneficial Interest” and understand that I may be deemed to have a Beneficial Interest in Covered Securities and Monitored Funds owned by members of my Immediate Family and that Covered Securities Transactions and Monitored Fund Transactions effected by members of my Immediate Family may therefore be subject to the Code.


More Definitions of Fund Transactions

Fund Transactions means the transactions described in Section 3.2(d).
Fund Transactions means the reorganizations of each of the Westport Fund and the Westport Select Cap Fund into the Xxxxxxxx Cornerstone Mid Cap 30 Fund.
Fund Transactions means any transactions in a relevant Fund;
Fund Transactions means any subscription or redemptions of shares or units in the Underlying on a Trading Day;
Fund Transactions means the reorganization of the TwinLine Energy Fund into the Xxxxxxxx XX Energy Fund and the reorganization of the TwinLine MLP Fund into the Xxxxxxxx XX Midstream Fund.
Fund Transactions with respect to a Fund, means (i) adoption by or on behalf of such Fund of (A) an investment management agreement with the applicable Subsidiary (which agreement shall be in form and substance substantially identical to such Fund's existing investment management agreement with such Subsidiary), (B) an underwriting agreement on behalf of such Fund with Liberty Funds Distributor, Inc., a Massachusetts corporation and a Subsidiary of the Company ("LFDI") (which agreement shall be in form and substance substantially identical to LFDI's existing underwriting agreement with such Fund), provided, however, that this clause (B) shall not apply to any Fund which as of the date hereof does not have an underwriting agreement with LFDI, and (C) administrative services, transfer agency services and pricing and bookkeeping services agreements with the applicable Subsidiaries with respect to other services provided to the Funds (which agreements shall be in form and substance substantially identical to such Funds' existing agreements with such Subsidiaries for such services) and (ii) all required actions under federal or state securities laws in connection with the foregoing.

Related to Fund Transactions

  • Related Transactions means the initial borrowing under the Revolving Loan on the Closing Date, the Refinancing, the payment of all fees, costs and expenses associated with all of the foregoing and the execution and delivery of all of the Related Transactions Documents.

  • Card Transactions means any payment made for goods or services, cash withdrawals from a bank or financial institution (including ATM withdrawals) or transfer of funds made through the use of the Card or the Card number.

  • Void Transaction means any transaction wherein the transaction has taken place but has been cancelled /rejected /unsuccessful by the Alliance Partner.

  • Acquisition Transactions means the transactions contemplated by the Acquisition Agreement.

  • Certain Transactions, Description of Capital Stock," "Shares Eligible for Future Sale" and "Underwriters" and (B) in the Registration Statement in Items 14 and 15, in each case insofar as such statements constitute summaries of the legal matters, documents or proceedings referred to therein, fairly present the information called for with respect to such legal matters, documents and proceedings and fairly summarize the matters referred to therein;

  • Formation Transactions means the transactions contemplated by this Agreement and the other Formation Transaction Documentation.

  • Exempt Transactions means the transactions described in the section hereof titled “Exempt Transactions.”

  • Merger Transactions means the Merger and the other transactions relating thereto or contemplated by the Merger Agreement.

  • Excluded Transactions means:

  • Pawn transaction means the same as that term is defined in Section 13-32a-102.

  • Roll-Up Transaction means a transaction involving the acquisition, merger, conversion or consolidation either directly or indirectly of the Company and the issuance of securities of a Roll-Up Entity to the Shareholders. Such term does not include:

  • Restructuring Transactions means the transactions described in Article IV.B of the Plan.

  • Financing Transactions means the execution, delivery and performance by each Loan Party of the Loan Documents to which it is to be a party, the borrowing of Loans, the use of the proceeds thereof and the issuance of Letters of Credit hereunder.

  • Closing Transactions has the meaning set forth in Section 11.8(a)(i) of these Bylaws.

  • Failed Transactions is the set of all requests within Total Transaction Attempts that do not return a Success Code within 30 seconds from Microsoft’s receipt of the request.

  • repurchase transaction means a transaction governed by an agreement by which a counterparty transfers securities or guaranteed rights relating to title to securities where that guarantee is issued by a recognised exchange which holds the rights to the securities and the agreement does not allow a counterparty to transfer or pledge a particular security to more than one counterparty at a time, subject to a commitment to repurchase them, or substituted securities of the same description at a specified price on a future date specified, or to be specified, by the transferor, being a repurchase agreement for the counterparty selling the securities and a reverse repurchase agreement for the counterparty buying them;

  • Reorganization Transactions shall have the meaning set forth in the recitals.

  • Interim Capital Transactions means the following transactions if they occur prior to the Liquidation Date: (a) borrowings, refinancings or refundings of indebtedness and sales of debt securities (other than Working Capital Borrowings and other than for items purchased on open account in the ordinary course of business) by any Group Member; (b) sales of equity interests by any Group Member (including the Common Units sold to the Underwriters pursuant to the exercise of their over-allotment option); and (c) sales or other voluntary or involuntary dispositions of any assets of any Group Member other than (i) sales or other dispositions of inventory, accounts receivable and other assets in the ordinary course of business, and (ii) sales or other dispositions of assets as part of normal retirements or replacements.

  • Related Transactions Documents means the Loan Documents and all other agreements or instruments executed in connection with the Related Transactions.

  • Permitted Transactions has the meaning set forth in Section 13(B).

  • Securities Financing Transactions means repurchase agreements, reverse repurchase agreements, securities lending agreements and any other transactions within the scope of SFTR that a Fund is permitted to engage in;

  • Package Transaction means a transaction involving two or more instruments:

  • Company Acquisition Transaction means any transaction or series of transactions involving:

  • Treasury Transactions means any derivative transaction entered into in connection with protection against or benefit from fluctuation in any rate or price.

  • SPAC Transaction means a transaction or series of related transactions by merger, consolidation, share exchange or otherwise of the Company with a publicly traded “special purpose acquisition company” or its subsidiary (collectively, a “SPAC”), immediately following the consummation of which the common stock or share capital of the SPAC or its successor entity is listed on the Nasdaq Stock Market, the New York Stock Exchange or another exchange or marketplace approved by the Board of Directors, including a majority of the Preferred Directors.

  • Transaction Type means the nature of a fuel-based transaction as defined below: