Public Equity Security definition

Public Equity Security means an equity security (i.e., stock, any security convertible into stock or any warrant or right to obtain stock) where such equity security (or underlying security, where such conversion or right may be exercised within 60 days) is of a class registered pursuant to §12 of the 1934 Act.
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Examples of Public Equity Security in a sentence

  • No Employee may purchase or sell, directly or indirectly, for his/her own account or any account in which such Employee has a Beneficial Interest, any Public Equity Security, if at the time of such purchase or sale DDJ Clients own (or could be deemed to beneficially own as defined under Section 13(d) of the 1934 Act) 5.0% or more of such class of Public Equity Security of such issuer, without the prior approval of the Chief Compliance Officer.

  • In the event that an Employee holds any Public Equity Security in an issuer in which DDJ’s Clients subsequently acquire 5% or more of such class of Public Equity Security, this restriction, for example, may delay or prevent an Employee from closing out such position in a Security depending on, among other things, the securities reporting consequences for DDJ with respect to such personal transaction.

  • Accordingly, to the extent that an Employee who is a member of the DDJ investment team intends to transact in his/her account or any account in which such Employee has a Beneficial Interest in the Public Equity Security of any company that has issued a fixed income security that (to such Employee’s knowledge) is also held by a DDJ Client (or is being considered for investment at such time by a DDJ Client), such Employee should first notify the applicable Portfolio Manager before such personal transaction.

  • No Employee may purchase or sell, directly or indirectly, for his own account or any account in which he has a Beneficial Interest, any Public Equity Security, if at the time of such purchase or sale DDJ Clients own (or could be deemed to beneficially own as defined under Section 13(d) of the 1934 Act) 5.0% or more of such class of Public Equity Security of such issuer, without the prior approval of the Chief Compliance Officer.

  • In the event that an Employee holds any Public Equity Security in an issuer in which DDJ’s Clients subsequently acquire 5% or more of such class of Public Equity Security, this restriction, for example, may delay or prevent an Employee from closing out such position in a Security depending on, among other things, DDJ Capital Management, LLC - Code of Ethics Page 9 the securities reporting consequences for DDJ with respect to such personal transaction.

  • In the event that an Employee holds any Public Equity Security in an issuer in which Polen Credit’s Clients subsequently acquire 5% or more of such class of Public Equity Security, this restriction, for example, may delay or prevent an Employee from closing out such position in a Security depending on, among other things, the securities reporting consequences for Polen Credit with respect to such personal transaction.

  • No Employee may purchase or sell, directly or indirectly, for his/her own account or any account in which such Employee has a Beneficial Interest, any Public Equity Security, if at the time of such purchase or sale Polen Credit Clients own (or could be deemed to beneficially own as defined under Section 13(d) of the 1934 Act) 5.0% or more of such class of Public Equity Security of such issuer, without the prior approval of the Chief Compliance Officer.

Related to Public Equity Security

  • Equity Security means any stock or similar security, including, without limitation, securities containing equity features and securities containing profit participation features, or any security convertible into or exchangeable for, with or without consideration, any stock or similar security, or any security carrying any warrant, right or option to subscribe to or purchase any shares of capital stock, or any such warrant or right.

  • Equity Securities means, with respect to any Person that is a legal entity, any and all shares of capital stock, membership interests, units, profits interests, ownership interests, equity interests, registered capital, and other equity securities of such Person, and any right, warrant, option, call, commitment, conversion privilege, preemptive right or other right to acquire any of the foregoing, or security convertible into, exchangeable or exercisable for any of the foregoing, or any Contract providing for the acquisition of any of the foregoing.

  • Security, Securities shall have the meaning set forth in Section 2(1) of the Securities Act;

  • Hybrid Equity Securities means securities issued by Borrower or any subsidiary that (a) are classified as possessing a minimum of (i) “intermediate equity content” by S&P and (ii) “Basket C equity credit” by Moody’s and (b) do not contain any scheduled principal payments or prepayments or any mandatory redemptions or mandatory repurchases prior to the date that is at least 91 days after the latest applicable Maturity Date.

  • voting equity securities means equity securities having voting power for the election of directors, whether at all times or only so long as no senior class of security has such voting power by reason of any contingency.

  • Public Equity Offering means an underwritten primary public offering of common stock of the Company pursuant to an effective registration statement under the Securities Act.

  • Parent Capital Stock means Parent Common Stock and Parent Preferred Stock.

  • Equity Stock means all classes or series of capital stock of the Company authorized under the Charter, including, without limit, its common stock, $.001 par value per share, and preferred stock, $.001 par value per share.

  • Fully Diluted Company Shares means the total number of issued and outstanding shares of Company Common Stock, (a) after giving effect to the Company Preferred Stock or otherwise treating shares of Company Preferred Stock on an as-converted to Company Common Stock basis, and (b) treating all outstanding in-the-money Specified Company Warrants as fully vested and as if the Specified Company Warrants had been exercised for cash as of the Effective Time, but for the avoidance of doubt excluding any Company Securities described in Section 1.11(b).

  • Equity Shares means the Common Shares and any shares of any other class or series of the Corporation which may from time to time be authorized for issue if by their terms such shares confer on the holders thereof the right to participate in the distribution of assets upon the voluntary or involuntary liquidation, dissolution or winding up of the Corporation beyond a fixed sum or a fixed sum plus accrued dividends;

  • Disqualified Capital Stock means that portion of any Capital Stock which, by its terms (or by the terms of any security into which it is convertible or for which it is exchangeable at the option of the holder thereof), or upon the happening of any event, matures or is mandatorily redeemable, pursuant to a sinking fund obligation or otherwise, or is redeemable at the sole option of the holder thereof, in any case, on or prior to the 91st day after the final maturity date of the Notes.

  • Public entity means the State of Arkansas, or a political subdivision of the state, including all boards, commissions, agencies, institutions, authorities, and bodies politic and corporate of the state, created by or in accordance with state law or regulations, and does include colleges, universities, a statewide public employee retirement system, and institutions in Arkansas as well as units of local and municipal government.

  • Capital Stock of any Person means any and all shares, interests, rights to purchase, warrants, options, participations or other equivalents of or interests in (however designated) equity of such Person, including any Preferred Stock, but excluding any debt securities convertible into such equity.

  • Company Capital Stock means the Company Common Stock and the Company Preferred Stock.

  • Convertible Security Acquisition means an acquisition by a Person of Voting Shares upon the exercise, conversion or exchange of a Convertible Security received by a Person pursuant to a Permitted Bid Acquisition, an Exempt Acquisition or a Pro Rata Acquisition;

  • Disqualified Equity Interests of any Person means any class of Equity Interests of such Person that, by its terms, or by the terms of any related agreement or of any security into which it is convertible, puttable or exchangeable, is, or upon the happening of any event or the passage of time would be, required to be redeemed by such Person, whether or not at the option of the holder thereof, or matures or is mandatorily redeemable, pursuant to a sinking fund obligation or otherwise, in whole or in part, in each case on or prior to the date that is 91 days after the final maturity date of the Notes; provided, however, that any class of Equity Interests of such Person that, by its terms, authorizes such Person to satisfy in full its obligations with respect to the payment of dividends or upon maturity, redemption (pursuant to a sinking fund or otherwise) or repurchase thereof or otherwise by the delivery of Equity Interests that are not Disqualified Equity Interests, and that is not convertible, puttable or exchangeable for Disqualified Equity Interests or Indebtedness, will not be deemed to be Disqualified Equity Interests so long as such Person satisfies its obligations with respect thereto solely by the delivery of Equity Interests that are not Disqualified Equity Interests; provided, further, however, that any Equity Interests that would not constitute Disqualified Equity Interests but for provisions thereof giving holders thereof (or the holders of any security into or for which such Equity Interests are convertible, exchangeable or exercisable) the right to require the Issuer to redeem such Equity Interests upon the occurrence of a change in control occurring prior to the 91st day after the final maturity date of the Notes shall not constitute Disqualified Equity Interests if (1) the change of control provisions applicable to such Equity Interests are no more favorable to such holders than the provisions of Section 4.08, and (2) the right to require the Issuer to redeem such Equity Interests does not become operative prior to the Issuer’s purchase of the Notes as required pursuant to the provisions of Section 4.08.

  • Parent Common Shares means the common shares of the Parent;

  • Inverted domestic corporation means a foreign incorporated entity that meets the definition of an inverted domestic corporation under 6 U.S.C. 395(b), applied in accordance with the rules and definitions of 6 U.S.C. 395(c).

  • Fully-Diluted Common Stock means the aggregate of all outstanding Common Stock as of the date hereof, plus all shares of Common Stock issuable upon the exercise or conversion of securities exercisable for, or convertible into, shares of Common Stock of the Company which securities are outstanding or issuable as of the date hereof.

  • Qualified Capital Stock means any Capital Stock that is not Disqualified Capital Stock.

  • equity share capital means the total issued and paid-up equity share capital of the Company, calculated on a Fully Diluted Basis.

  • Common Equity of any Person means Capital Stock of such Person that is generally entitled (a) to vote in the election of directors of such Person or (b) if such Person is not a corporation, to vote or otherwise participate in the selection of the governing body, partners, managers or others that will control the management or policies of such Person.

  • Disqualified Equity Interest means, with respect to any Person, any Equity Interest in such Person that by its terms (or by the terms of any security into which it is convertible or for which it is exchangeable, either mandatorily or at the option of the holder thereof), or upon the happening of any event or condition:

  • exchangeable security means a security of an issuer that is exchangeable for, or carries the right of the holder to acquire, or of the issuer to cause the acquisition of, a security of another issuer;

  • Common Equity Tier 1 Capital means common equity tier 1 capital (or any equivalent or successor term) of, as the case may be, the Issuer or the Group, in each case as calculated by the Issuer in accordance with CRD IV requirements and any applicable transitional arrangements under CRD IV;