RIM Securities definition

RIM Securities means all membership interests in RIM and any other equity securities of RIM (including, without limitation, all outstanding unexpired and unexercised options, warrants or other rights to acquire or receive any membership or other equity interest of RIM, or profits interests, profit participation or other similar rights with respect thereto, whether vested or unvested, if any).
Sample 1

Examples of RIM Securities in a sentence

  • First FINRA Rules prohibit the purchase of new issues by individuals affiliated with FINRA Member firms of which RIM Securities is a member.

  • Prior to joining the Investment Manager in March 2003, he worked for three years as Vice President-Legal and Compliance and Chief Compliance Officer for Rochdale Investment Management LLC, Rochdale Securities Corporation and RIM Securities LLC.

  • First NASD Rules prohibit the purchase of Hot Issues by employees of NASD Member firms of which RIM Securities is a member.

  • No “fair price,” “moratorium,” “control share acquisition” or other similar antitakeover statute or regulation enacted under Law (“Takeover Statute”) is applicable to the Mergers, the RIM Securities Purchase or the BRH Securities Purchase or the other transactions contemplated hereby.

  • No vote or other action of the stockholders of Parent is required by applicable law, the certificate of incorporation of Parent, the bylaws of Parent or otherwise in order for Parent, Merger Sub I and Merger Sub II to consummate the Mergers, the BRH Securities Purchase or the RIM Securities Purchase.

  • No broker, finder or investment banker is entitled to any brokerage, finder’s or other fee or commission in connection with the Mergers, the BRH Securities Purchase or the RIM Securities Purchase based upon arrangements made by or on behalf of Parent, Merger Sub I or Merger Sub II.

  • Generations pass these life stages on different times and therefore create or adjust their attitudes towards and decisions about work and family life during that period (Levenson, 2010).

  • On the terms and subject to the conditions of this Agreement, Parent agrees to purchase from Seller, and Seller agrees, as further consideration for Seller’s receipt of the Acquisition Consideration and the covenants and agreements herein, to sell, transfer, assign and deliver to Parent, the RIM Securities, free and clear of all Encumbrances.

  • Prior to joining the Investment Manager in March 2003, he worked for three years as Vice President-Legal andCompliance and Chief Compliance Officer for Rochdale Investment Management LLC, Rochdale Securities Corporation and RIM Securities LLC.

  • It is intended by the parties hereto that the BRH Securities Purchase, when viewed together with the RIM Securities Purchase, the Mergers and the Stock Sale, shall constitute a tax-free exchange under Section 351(a) of the Code.

Related to RIM Securities

  • NIM Securities Any debt securities secured or otherwise backed by some or all of the Class X and Class P Certificates that are rated by one or more Rating Agencies.

  • Lock-Up Securities has the meaning assigned to such term in Section 3.5.

  • ETP Securities means the Series of ETP Securities to which these Conditions relates or, as the context may require, any or all securities issued by the Issuer under the Programme.

  • Equity-linked Securities means any debt or equity securities that are convertible, exercisable or exchangeable for Class A Shares issued in a financing transaction in connection with a Business Combination, including but not limited to a private placement of equity or debt.

  • Series B Securities means the Company's Series B 9.25% Junior Subordinated Deferrable Interest Debentures due February 1, 2027, as authenticated and issued under this Indenture.

  • Offeror’s Securities means Voting Shares Beneficially Owned by an Offeror on the date of the Offer to Acquire;

  • Series A Securities means the Company's 9.25% Series A Junior Subordinated Deferrable Interest Debentures due February 1, 2027, as authenticated and issued under this Indenture.

  • Firm Securities means the number or amount of Securities that the several Underwriters are initially committed to purchase under the Underwriting Agreement (which may be expressed as a percentage of an aggregate number or amount of Securities to be purchased by the Underwriters, as in the case of a standby Underwriting Agreement). “Additional Securities” means the Securities, if any, that the several Underwriters have an option to purchase under the Underwriting Agreement to cover over-allotments. The number, amount, or percentage of Firm Securities set forth opposite each Underwriter’s name in the Underwriting Agreement plus any additional Firm Securities which such Underwriter has made a commitment to purchase, irrespective of whether such Underwriter actually purchases or sells such number, amount, or percentage of Securities under the Underwriting Agreement or Article XI hereof, is hereinafter referred to as the “Original Underwriting Obligation” of such Underwriter, and the ratio which such Original Underwriting Obligation bears to the total of all Firm Securities set forth in the Underwriting Agreement (or, in the case of a standby Underwriting Agreement, to 100%) is hereinafter referred to as the “Underwriting Percentage” of such Underwriter. For the avoidance of doubt, each Underwriter acknowledges and agrees that, for all purposes under this Agreement and otherwise (including, to the extent applicable, for purposes of Section 11(e) under the U.S. Securities Act of 1933 (the “1933 Act”)), each Underwriter’s Underwriting Percentage of the total number, amount, or percentage of Securities offered and sold in the Offering (including any Additional Securities), and only such number, amount, or percentage, constitutes the securities underwritten by such Underwriter and distributed to investors.1 References herein to laws, statutory and regulatory sections, rules, regulations, forms, and interpretive materials will be deemed to include any successor provisions.

  • Purchaser Securities means the Purchaser Units, the Purchaser Common Stock, the Purchaser Preferred Stock and the Purchaser Warrants, collectively.

  • BofA Securities means BofA Securities, Inc.

  • Portfolio Securities or "investments" of the Series shall mean, respectively, such assets, net assets, securities, portfolio securities or investments which are from time to time under the management of the Subadviser pursuant to this Agreement.

  • Placement Agent Warrants shall have the meaning set forth in the Subscription Agreement.

  • Refused Securities has the meaning ascribed to such term in Section 4.1(c)

  • Additional Purchased Securities Securities provided by Seller to Buyer pursuant to Paragraph 4(a) hereof;

  • Underwriters' Securities means the Offered Securities other than Contract Securities.

  • Corporation Securities means (i) shares of Common Stock, (ii) shares of Preferred Stock (other than preferred stock described in Section 1504(a)(4) of the Code), (iii) warrants, rights, or options (including options within the meaning of Treasury Regulation § 1.382-2T(h)(4)(v)) to purchase stock of the Corporation, and (iv) any other interest that would be treated as “stock” of the Corporation pursuant to Treasury Regulation § 1.382-2T(f)(18).

  • Securities has the meaning stated in the first recital of this Indenture and more particularly means any Securities authenticated and delivered under this Indenture.

  • Redemption Securities means any debt or equity securities of the Corporation, any Subsidiary or any other corporation or other entity, or any combination thereof, having such terms and conditions as shall be approved by the Board of Directors and which, together with any cash to be paid as part of the redemption price, in the opinion of any nationally recognized investment banking firm selected by the Board of Directors (which may be a firm which provides other investment banking, brokerage or other services to the Corporation), has a value, at the time notice of redemption is given pursuant to paragraph (d) of this Section 5, at least equal to the Fair Market Value of the shares to be redeemed pursuant to this Section 5 (assuming, in the case of Redemption Securities to be publicly traded, such Redemption Securities were fully distributed and subject only to normal trading activity).

  • Offered Securities shall have the meaning specified in Section 5.03(b)(ii)(B).

  • Designated Securities means securities issued by an Insured, or by any Affiliated Entity, or by any Fund to which such Insured or any Affiliated Entity provides any services.

  • Escrowed Securities means the direct, noncallable obligations of the United States of America, as described in the Escrow Agreement.

  • Equity Preferred Securities means, with respect to any Person, any trust preferred securities or deferrable interest subordinated debt securities issued by such Person or other financing vehicle of such Person that (i) have an original maturity of at least twenty years, and (ii) require no repayments or prepayments and no mandatory redemptions or repurchases, in each case, prior to the first anniversary of the latest Maturity Date.

  • Company Securities has the meaning set forth in Section 3.02(b)(ii).

  • Placement Warrants shall have the meaning given in the Recitals hereto.

  • Exempt Securities has the meaning set forth in Section 4.4(d).

  • Conversion Securities has the meaning set forth in Section 4.08(b).