Legally Restricted Security definition

Legally Restricted Security is a security that is a restricted security, as defined in Rule 144(a)(3). A “Contractually Restricted Security” is a security that upon issuance and continually thereafter can only be sold pursuant to Regulation S under the Securities Act, Rule 144A, Rule 144, or in a transaction exempt from the registration requirements of the Securities Act pursuant to Section 4 of the Securities Act and not involving any public offering; provided, however, that once the security is sold pursuant to the provisions of Rule 144, including Rule 144(b)(1), it will thereby cease to be a “Contractually Restricted Security.” For purposes of this definition, in order for a depositary receipt to be considered a “Legally or Contractually Restricted Security,” the underlying security must also be a “Legally or Contractually Restricted Security.”
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Legally Restricted Security is a security that is a restricted security, as defined in Rule 144(a)(3). A “Contractually Restricted Security” is a security that upon issuance and continually thereafter can only be sold pursuant to Regulation S under the Securities Act, Rule 144A, Rule 144, or in a transaction exempt from the registration requirements of the Securities Act pursuant to Section 4 of the Securities Act and not involving any public offering; provided, however, that once the security is sold pursuant to the provisions of Rule 144, including Rule 144(b)(1), it will thereby cease to be a “Contractually Restricted Security.” For purposes of this definition, in order for a depositary receipt to be considered a “Legally or Contractually Restricted Security,” the underlying security must also be a “Legally or Contractually Restricted Security.” 2 Agent shall be defined as Depositary, Trustee, Trust Company or Paying Agent as such definition applies in the DTC Letter of Representations to which this rider may be appended. Regulation S Rider 09-2013 WFRBS Commercial Mortgage Trust 2014-C22 Commercial Mortgage Pass-Through Certificates, Series 2014-C22 SCHEDULE B: Class Public CUSIP Public ISIN A-1 00000XXX0 US92890KAW53 A-2 00000XXX0 US92890KAX37 A-5 00000XXX0 US92890KBA25 A-SB 00000XXX0 US92890KBB08 A-S 00000XXX0 US92890KBC80 X-A 00000XXX0 US92890KBD63 X-B 00000XXX0 US92890KBE47 B 00000XXX0 XX00000XXX00 X 00000XXX0 XX00000XXX00 SCHEDULE C: Class Rule 144A CUSIP Rule 144A ISIN X-C 00000XXX0 US92890KAA34 X-D 00000XXX0 US92890KAC99 X-E 00000XXX0 US92890KAE55 X-Y 00000XXX0 XX00000XXX00 X 00000XXX0 US92890KAJ43 E 00000XXX0 US92890KAL98 F 00000XXX0 US92890KAN54 G 00000XXX0 US92890KAQ85 SCHEDULE D: Class Reg S CUSIP Reg S ISIN X-C X00000XX0 USU96297AA19 X-E X00000XX0 USU96297AC74 X-Y X00000XX0 XXX00000XX00 X X00000XX0 XXX00000XX00 X X00000XX0 XXX00000XX00 RIDER 1: With respect to Schedule B: Xxxxx Fargo Securities, LLC, RBS Securities Inc. and Deutsche Bank Securities Inc. With respect to Schedules C and D: Xxxxx Fargo Securities, LLC, RBS Securities Inc. and Citigroup Global Markets Inc. EXHIBIT C-1A FORM OF TRANSFEROR CERTIFICATE (FOR USE IN CONNECTION WITH TRANSFERS OF NON-REGISTERED CERTIFICATES TO NON-QIB ACCREDITED INVESTORS) [Date] Xxxxx Fargo Bank, National Association Xxxxx Fargo Center Xxxxx Xxxxxx xxx Xxxxxxxxx Xxxxxx Xxxxxxxxxxx, Xxxxxxxxx 00000-0000 Attention: Corporate Trust Services: WFRBS Commercial Mortgage Trust 2014-C22 Re: WFRBS Commercial Mortgage Trust 2014-C22, Com...
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Legally Restricted Security is a security that is a restricted security, as defined in Rule 144(a)(3). A "Contractually Restricted Security" is a security that upon issuance and continually thereafter can only be sold pursuant to Regulation S under the Securities Act, Rule 144A, Rule 144, or in a transaction exempt from the registration requirements of the Securities Act pursuant to Section 4 of the Securities Act and not involving any public offering; provided, however, that once the security is sold pursuant to the provisions of Rule 144, including Rule 144(k), it will thereby cease to be a "Contractually Restricted Security." For purposes of this definition, in order for a depositary receipt to be considered a "Legally or Contractually Restricted Security," the underlying security must also be a "Legally or Contractually Restricted Security."
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Examples of Legally Restricted Security in a sentence

  • In the 1980s, U.S. pressures to dismantle the social- democratic features and restore the army elicited bitter complaints from Figueres and others who shared his commitments.

  • A "Legally Restricted Security" is a security that is a restricted security that is a restricted security, as defined in Rule 144(a)(3).


More Definitions of Legally Restricted Security

Legally Restricted Security is a security that is a restricted security, as defined in Rule 144(a)(3). A "Contractually Restricted Security" is a security that upon issuance and continually thereafter can only be sold pursuant to Regulation S under the Securities Act, Rule 144A, Rule 144, or in a transaction exempt from the registration requirements of the Securities Act pursuant to Section 4 of the Securities Act and not involving any public offering; provided, however, that once the security is sold pursuant to the provisions of Rule 144, including Rule 144(k), it will thereby cease to be a "Contractually Restricted Security." For purposes of this definition, in order for a depositary receipt to be considered a "Legally or Contractually Restricted Security," the underlying security must also be a "Legally or Contractually Restricted Security." Without limiting the generality of the preceding sentence, Issuer and Agent acknowledge that DTC shall treat any Participant having Securities credited to its DTC accounts as entitled to receive distributions (and voting rights, if any) in respect of the Securities, and to receive from DTC certificates evidencing Securities. Issuer and Agent recognize that DTC does not in any way undertake to, and shall not have any responsibility to, monitor or ascertain the compliance of any transactions in the Securities with any of the provisions: (a) of Rule 144A; (b) of other exemptions from registration under the Securities Act or any other state or federal securities laws; or (c) of the offering documents. [DTC LOGO OMITTED] REPRESENTATIONS FOR RULE 144A SECURITIES-- TO BE INCLUDED IN DTC LETTER OF REPRESENTATIONS ----------------------------------------------- Class J, Class K, Class L, Class M, Class N, Class P and Class Q Certificates
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Legally Restricted Security is a security that is a restricted security, as defined in Rule 144(a)(3). A “Contractually Restricted Security” is a security that upon issuance and continually thereafter can only be sold pursuant to Regulation S under the Securities Act, Rule 144A, Rule 144, or in a transaction exempt from the registration requirements of the Securities Act pursuant to Section 4 of the Securities Act and not involving any public offering; provided, however, that once the security is sold pursuant to the provisions of Rule 144, including Rule 144(b)(1), it will thereby cease to be a “Contractually Restricted Security.” For purposes of this definition, in order for a depositary receipt to be considered a “Legally or Contractually Restricted Security,” the underlying security must also be a “Legally or Contractually Restricted Security.” 2 Agent shall be defined as Depositary, Trustee, Trust Company or Paying agent as such definition applies in the DTC Letter of Representations to which this rider may be appended. Regulation S Rider 09-2013 EXHIBIT A WXXXX FARGO COMMERCIAL MORTGAGE TRUST 2015-NXS1, COMMERCIAL MORTGAGE PASS-THROUGH CERTIFICATES, SERIES 2015-NXS1 Class 144A CUSIP X-E 94989H CA6 X-F 94989H CD0 X-G 94989H CG3 E 94989H BR0 F 94989H BU3 G 94989H BX7 Class Reg S CUSIP X-E U95027 AS4 X-F U95027 AT2 X-G U95027 AU9 E X00000 XX0 X X00000 AQ8 G U95027 AR6 RIDER 1 Wxxxx Fargo Securities, LLC, Barclays Capital Inc. and Natixis Securities Americas LLC EXHIBIT C-1A FORM OF TRANSFEROR CERTIFICATE (FOR USE IN CONNECTION WITH TRANSFERS OF NON-REGISTERED CERTIFICATES TO NON-QIB ACCREDITED INVESTORS) [Date] Wxxxx Fargo Bank, National Association Wxxxx Fargo Center Sxxxx Xxxxxx xxx Xxxxxxxxx Xxxxxx Xxxxxxxxxxx, Xxxxxxxxx 00000-0000 Attention: Corporate Trust Services: Wxxxx Fargo Commercial Mortgage Trust 2015-NXS1 Re: Wxxxx Fargo Commercial Mortgage Trust 2015-NXS1, Commercial Mortgage Pass-Through Certificates, Series 2015-NXS1 (the “Certificates”), Class [_], [having an initial Certificate Principal Balance or Certificate Notional Amount as of April 29, 2015 (the “Closing Date”) of $___] [evidencing a ____% Percentage Interest in the related Class] (the “Transferred Certificates”) Ladies and Gentlemen: This letter is delivered to you in connection with the Transfer by _________________________ (the “Transferor”) to ________________ (the “Transferee”) of the Transferred Certificates. The Certificates, including the Transferred Certificates, were issued pursuant to the Pooling...
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Legally Restricted Security is a security that is a restricted security, as defined in Rule 144(a)(3). A “Contractually Restricted Security” is a security that upon issuance and continually thereafter can only be sold pursuant to Regulation S under the Securities Act, Rule 144A, Rule 144, or in a transaction exempt from the registration requirements of the Securities Act pursuant to Section 4 of the Securities Act and not involving any public offering; provided, however, that once the security is sold pursuant to the provisions of Rule 144, including Rule 144(b)(1), it will thereby cease to be a “Contractually Restricted Security.” For purposes of this definition, in order for a depositary receipt to be considered a “Legally or Contractually Restricted Security,” the underlying security must also be a “Legally or Contractually Restricted Security.” 2 Agent shall be defined as Depositary, Trustee, Trust Company or Paying Agent as such definition applies in the DTC Letter of Representations to which this rider may be appended. DTCC The Depository Trust & Clearing Corporation Page 1 of 2 Regulation S Rider 07-2010 The Depository Trust Company A subsidiary of The Depository Trust & Clearing Corporation Representations for Regulation S Securities to be included in DTC Letter of Representations WFRBS Commercial Mortgage Trust 2012-C7 Name of Issuer and Co-Issuer(s) if applicable Commercial Mortgage Pass-Through Certificates, Series 2012-C7 Security Description including series designation if applicable See Rider 1 CUSIP Number(s) of the Securities The following applies only to Category 3 Regulation S security issuances: (Note: Issuer shall manually cross out section 3 below if not applicable.)
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Legally Restricted Security is a security that is a restricted security, as defined in Rule 144(a)(3). A “Contractually Restricted Security” is a security that upon issuance and continually thereafter can only be sold pursuant to Regulation S under the Securities Act, Rule 144A, Rule 144, or in a transaction exempt from the registration requirements of the Securities Act pursuant to Section 4 of the Securities Act and not involving any public offering; provided, however, that once the security is sold pursuant to the provisions of Rule 144, including Rule 144(b)(1), it will thereby cease to be a “Contractually Restricted Security.” For purposes of this definition, in order for a depositary receipt to be considered a “Legally or Contractually Restricted Security,” the underlying security must also be a “Legally or Contractually Restricted Security.” 2 Agent shall be defined as Depositary, Trustee, Trust Company or Paying Agent as such definition applies in the DTC Letter of Representations to which this rider may be appended. Regulation S Rider 09-2013 Xxxxx Fargo Commercial Mortgage Trust 2015-C26 Commercial Mortgage Pass-Through Certificates SCHEDULE B: Class Public CUSIP Public ISIN A-1 00000XXX0 US94989CAU53 A-2 00000XXX0 US94989CAV37 A-3 00000XXX0 US94989CAW10 A-4 00000XXX0 US94989CAX92 A-SB 00000XXX0 US94989CAY75 A-S 00000XXX0 US94989CAZ41 X-A 00000XXX0 US94989CBA80 X-B 00000XXX0 US94989CBB63 B 00000XXX0 US94989CBC47 C 00000XXX0 US94989CBD20 PEX 00000XXX0 US94989CBE03 SCHEDULE C: Class Rule 144A CUSIP Rule 000X XXXX X-X 00000XXX0 US94989CAA99 X-D 00000XXX0 US94989CAC55 X-E 00000XXX0 US94989CAE12 D 00000XXX0 XX00000XXX00 X 00000XXX0 US94989CAJ09 G 00000XXX0 US94989CAN11 SCHEDULE D: Class Regulation S CUSIP Regulation S ISIN X-C X00000XX0 USU95036AA41 X-D X00000XX0 USU95036AB24 X-E X00000XX0 USU95036AC07 X X00000XX0 USU95036AE62 F X00000XX0 USU95036AF38 G X00000XX0 USU95036AG11 RIDER 1: Xxxxx Fargo Securities, LLC, Deutsche Bank Securities Inc. and Xxxxxx Xxxxxxx & Co. LLC EXHIBIT C-1A FORM OF TRANSFEROR CERTIFICATE (FOR USE IN CONNECTION WITH TRANSFERS OF NON-REGISTERED CERTIFICATES TO NON-QIB ACCREDITED INVESTORS) [Date] Xxxxx Fargo Bank, National Association Xxxxx Fargo Center Xxxxx Xxxxxx xxx Xxxxxxxxx Xxxxxx Xxxxxxxxxxx, Xxxxxxxxx 00000-0000 Attention: Corporate Trust Services: Xxxxx Fargo Commercial Mortgage Trust 2015-C26 Re: Xxxxx Fargo Commercial Mortgage Trust 2015-C26, Commercial Mortgage Pass-Through Certificates, Series 2015-C26 (the “Certificates”), Class [_], [havin...
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Legally Restricted Security is a security that is a restricted security, as defined in Rule 144(a)(3). A “Contractually Restricted Security” is a security that upon issuance and continually thereafter can only be sold pursuant to Regulation S under the Securities Act, Rule 144A, Rule 144, or in a transaction exempt from the registration requirements of the Securities Act pursuant to Section 4 of the Securities Act and not involving any public offering; provided, however, that once the security is sold pursuant to the provisions of Rule 144, including Rule 144(b)(l), it will thereby cease to be a “Contractually Restricted Security.” For purposes of this definition, in order for a depositary receipt to be considered a “Legally or Contractually Restricted Security,” the underlying security must also be a “Legally or Contractually Restricted Security.” 2Agent shall be defined as Depositary, Trustee, Trust Company or Paying Agent as such definition applies in the DTC Letter of Representations to which this rider may be appended. Regulation S Rider 09-2013 RIDER 1 Certificate Class Regulation S CUSIP Rule 144A CUSIP Class X-C U9626PA A4 92939FA A7 Class X-D U9626PA B2 92939FA C3 Class X-E U9626PA J5 92939FB C2 Class X A-SBFL U9626PA K2 92939FB E8 Class X A-SBFX U9626PA L0 92939FB G3 D U9626PA C0 92939FA E9 E U9626PA D8 92939FA G4 F U9626PA E6 92939FA J8 G U9626PA F3 92939FA L3 RIDER 2 Wxxxx Fargo Securities, LLC, RBS Securities Inc. and Deutsche Bank Securities Inc. RIDER 3 WFRBS Commercial Mortgage Trust 2014-C21, by Wxxxx Fargo Bank, National Association, not individually, but solely in its capacity as Certificate Administrator EXHIBIT C-1A FORM OF TRANSFEROR CERTIFICATE (FOR USE IN CONNECTION WITH TRANSFERS OF NON-REGISTERED CERTIFICATES TO NON-QIB ACCREDITED INVESTORS) [Date] Wxxxx Fargo Bank, National Association Wxxxx Fargo Center Sxxxx Xxxxxx xxx Xxxxxxxxx Xxxxxx Xxxxxxxxxxx, Xxxxxxxxx 00000-0000 Attention: Corporate Trust Services: WFRBS Commercial Mortgage Trust 2014-C21 Re: WFRBS Commercial Mortgage Trust 2014-C21, Commercial Mortgage Pass-Through Certificates, Series 2014-C21 (the “Certificates”), Class [_], having an initial Certificate Principal Balance or Certificate Notional Amount as of August 12, 2014 (the “Closing Date”) of $___ (the “Transferred Certificates”) Ladies and Gentlemen: This letter is delivered to you in connection with the Transfer by _________________________ (the “Transferor”) to ________________ (the “Transferee”) of the Transferred Certificates. The Cert...
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Legally Restricted Security is a security that is a restricted security, as defined in Rule 144(a)(3). A "Contractually Restricted Security" is a security that upon issuance and continually thereafter can only be sold pursuant to Regulation S under the Securities Act, Rule 144A, Rule 144, or in a transaction exempt from the registration requirements of the Securities Act pursuant to Section 4 of the Securities Act and not involving any public offering; provided, however, that once the security is sold pursuant to the provisions of Rule 144, including Rule 144(k), it will thereby cease to be a "Contractually Restricted Security." For purposes of this definition, in order for a depositary receipt to be considered a "Legally or Contractually Restricted Security," the underlying security must also be a "Legally or Contractually Restricted Security." USF&G CORPORATION to THE BANK OF NEW YORK Trustee JUNIOR SUBORDINATED INDENTURE Dated as of July 8, 1997 JUNIOR SUBORDINATED INDENTURE, dated as of July 8, 1997, between USF&G Corporation, a Maryland corporation (hereinafter called the "Company") having its principal office at 0000 Xxxxx Xxxxxx, Baltimore, Maryland 21209, and THE BANK OF NEW YORK, a New York banking corporation, as Trustee (hereinafter called the "Trustee").
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Related to Legally Restricted Security

  • Restricted Security has the meaning assigned to such term in Rule 144(a)(3) under the Securities Act; provided, however, that the Trustee shall be entitled to receive, at its request, and conclusively rely on an Opinion of Counsel with respect to whether any Note constitutes a Restricted Security.

  • Transfer-Restricted Security means any Security that constitutes a “restricted security” (as defined in Rule 144); provided, however, that such Security will cease to be a Transfer-Restricted Security upon the earliest to occur of the following events:

  • Transfer Restricted Securities means Securities that bear or are required to bear the legend relating to restrictions on transfer relating to the Securities Act set forth in Section 2.3(e) hereto.

  • Permitted Security means any Security:

  • Unrestricted Securities with respect to any series of Securities, means a Security (i) effectively registered under the Securities Act and disposed of in accordance with a registration statement with respect to such series or (ii) distributed to the public pursuant to Rule 144 under the Securities Act or any similar provision then in force.

  • Restricted Note has the same meaning as “Restricted Security” set forth in Rule 144(a)(3) promulgated under the Securities Act; provided that the Trustee shall be entitled to request and conclusively rely upon an Opinion of Counsel with respect to whether any Note is a Restricted Note.

  • Unrestricted Certificated Security means a Certificated Security that is not a Restricted Security.

  • Restricted Securities shall have the meaning specified in Section 2.05(c).

  • restricted security term means each of the terms “non-voting security”, “subordinate voting security”, and “restricted voting security”;

  • Restricted List Securities means the list of securities that are provided to the Compliance Department by Invesco Ltd. or investment departments, which include those securities that are restricted from purchase or sale by Client or Employee accounts for various reasons (e.g., large concentrated ownership positions that may trigger reporting or other securities regulatory issues, or possession of material, non-public information, or existence of corporate transaction in the issuer involving an Invesco Ltd. unit).

  • Transfer Restricted Note means any Note that bears or is required to bear a Restricted Notes Legend.

  • Controlled Securities Account means each securities account (including all financial assets held therein and all certificates and instruments, if any, representing or evidencing such financial assets) that is the subject of an effective Control Agreement.

  • Transfer Restricted Notes means Definitive Notes and any other Notes that bear or are required to bear the Restricted Notes Legend.

  • Restricted Securities Legend means the legend set forth in Section 2.3(e)(i) herein.

  • Company Restricted Shares means all shares of Company Common Stock subject to vesting restrictions and/or forfeiture back to the Company, whether granted under a Company Stock Plan or otherwise.

  • Exempted Securities means:

  • Permitted Securities means any of the following:

  • Company Restricted Stock means Company Shares that are unvested or are subject to repurchase option, risk of forfeiture or other condition on title or ownership under any applicable Company Equity Plan, restricted stock purchase agreement or other Contract with the Company.

  • Unrestricted Notes means one or more Notes that do not and are not required to bear the Restricted Notes Legend including, without limitation, the Exchange Notes and any Notes registered under the Securities Act pursuant to and in accordance with the Registration Rights Agreement.

  • Company Restricted Share means each restricted share of Company Common Stock outstanding as of the Effective Time granted pursuant to any equity or compensation plan or arrangement of the Company.

  • Restricted Certificated Note means a Certificated Note bearing the Private Placement Legend.

  • Restricted Notes means any Note for which no Debt-For-Tax Opinion has been rendered on or after the later of (i) the Closing Date and (ii) the most recent date on which such Note was beneficially owned by the Issuer or the single beneficial owner of the Issuer for United States federal income tax purposes.

  • Listed Security means any security of the Company that is listed or approved for listing on a national securities exchange or designated or approved for designation as a national market system security on an interdealer quotation system by the National Association of Securities Dealers, Inc.

  • Rule 144A Securities means all Initial Securities offered and sold to QIBs in reliance on Rule 144A.

  • Personal Securities Transaction means any transaction in a Covered Security in which an Access Person has a direct or indirect Pecuniary Interest.

  • ERISA-Restricted Certificate As specified in the Preliminary Statement.