Personal Securities Transaction definition

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

Personal Securities Transaction means a transaction in a Security in which an individual has or thereby acquires Beneficial Ownership. A person shall be considered to be “engaging in” or “effecting” a Personal Securities Transaction if such a Security is involved, regardless of whether the transaction is effected by that person or by some other person (such as an immediate family member). However, a person shall not be considered to be “engaging in” or “effecting” a Personal Securities Transaction if such transaction is executed through a pre-established automatic investment plan or dividend reinvestment plan.

Personal Securities Transaction means a Reportable Transaction in which an Access Person has Beneficial Ownership in the security.

Examples of Personal Securities Transaction in a sentence

• If a Personal Securities Transaction is approved, the transaction may be affected during the window set forth in Section 4.C.3.a.i above.

• Front Running Executing a Personal Securities Transaction in the same or an underlying Security, based on the knowledge of a forthcoming transaction or recommendation for purchase or sale by the applicable Identified Entity for an account of a client.

• PTA generally will approve a Personal Securities Transaction If: ● The transaction is not prohibited by the Code of Ethics; ● The transaction does not violate other applicable policies established by each applicable Identified Entity or Entities; and | 7 ● The transaction does not violate any other rules established in PTA by the Identified Entity’s Compliance Department from time to time.

• The approval of any Personal Securities Transaction does not relieve an individual of his or her responsibilities under the federal securities laws, including those relating to insider trading, or other applicable policies, including this Code of Ethics.

• If a Personal Securities Transaction is denied, the transaction may not be affected.

More Definitions of Personal Securities Transaction

Personal Securities Transaction means the acquisition or disposition of Beneficial Ownership of a Reportable Security or Reportable Fund.

Personal Securities Transaction means a transaction in a security in which a person has or thereby acquires Beneficial Ownership. A person is considered to be “engaging in” or “effecting” a Personal Securities Transaction if the person, directly or indirectly, directs, participates in or receives advance notification or advice regarding such transaction.

Personal Securities Transaction means a transaction in a Security which (i) an Access Person effects for his or her own account or for an account over which he or she has Beneficial Ownership, or (ii) that a person who is not an Access Person effects if an Access Person is a Beneficial Owner of such Security (for example, transactions made by an Access Person’s spouse).

Personal Securities Transaction means the acquisition or disposition of Beneficial Ownership of a Reportable Security.

Personal Securities Transaction means the execution, either directly or indirectly, of any "purchase or sale of a security."

Personal Securities Transaction means a transaction in a Security in which a person has or thereby acquires Beneficial Ownership. A person shall be considered to be "engaging in" or "effecting" a Personal Securities Transaction if the person, directly or indirectly, directs, participates in or receives advance notification or advice of or regarding such transaction. A person shall not be considered to be "engaging in" or "effecting" a Personal Securities Transaction if such transaction is effected on the person's behalf by an independent fiduciary or broker with investment discretion, provided the person did not, directly or indirectly, direct, participate in or receive advance notification or advice of or regarding such transaction.

Personal Securities Transaction means (i) transactions for your own account, including IRA's, or (ii) transactions for an account in which you have indirect beneficial ownership, unless you have no direct or indirect influence or control over the account. Accounts involving family (including husband, wife, minor children or other dependent relatives), or accounts in which you have a beneficial interest (such as a trust of which you are an income or principal beneficiary) are included within the meaning of "indirect beneficial interest."