Rule 144 Reporting definition

Rule 144 Reporting. With a view to making available the benefits of certain rules and regulations of the SEC which may at any time permit the sale of the Shares to the public without registration, Purchaser agrees to:
Sample 1
Rule 144 Reporting. To permit the sale of Registrable Securities without registration, the Company shall use its best efforts to maintain compliance with the periodic filing requirements of the Exchange Act. EXHIBIT D EXPRESS-1 EXPEDITED SOLUTIONS, INC. 2011 OMNIBUS INCENTIVE COMPENSATION PLAN
Sample 1

Examples of Rule 144 Reporting in a sentence

  • It’s a massive stone building with expansive white steps leading up to it.

  • The rights and obligations of the Company as set forth in this Section 2.5(a) shall be subject to the rights and obligations applicable to the Company under Section 5.1 (Suspension), Section 6.1 (Obligations of the Company), Section 7 (Indemnification), Section 8.1 (Expenses), Section 9.1 (Rule 144 Reporting) and Section 10.1 (Confidentiality).

  • In Proceedings of the Fifth International Workshop on Computing Education Research Workshop, Berkeley CA, USA, 10–11 August 2009; pp.

  • Rule 144 Reporting .................................................................................

  • Steve Mullins (PwC) provided an overview of the Market Trials dashboard, noting the general improvement in progress and outlook since the last PNSG where concerns were voiced about concluding MT: • In the 12 August 16 portal submission, all market participants rated either Green or Amber for a September end of Market Trials.

  • Section 2.1 Registration Procedures 7 Section 2.2 Suspension 10 Section 2.3 Expenses of Registration 10 Section 2.4 Information by Holders 10 Section 2.5 Rule 144 Reporting 11 Section 2.6 Plan of Distribution and Legal Counsel.

  • Section 4.1. Certain Definitions 12 Section 4.2. Piggyback Registration 13 Section 4.3. Expenses of Registration 14 Section 4.4. Obligations of the Company 15 Section 4.5. Indemnification 17 Section 4.6. Information by Holder 19 Section 4.7. Transfer of Registration Rights 19 Section 4.8. Delay of Registration 19 Section 4.9. Rule 144 Reporting 19 Section 4.10.

  • Nothing contained in this Section 12 shall be deemed to limit any party’s right to enforce any of the other parties’ covenants under Sections 3 (Merger Consideration), 4 (Lease of Real Estate), 6(d) Personal Guaranties, 6(e) Employees of the Company after the Closing, 7(a) Employment Agreement, 7(b) Restrictive Covenant Agreement, 17 (Disputes), 18 (Rule 144 Reporting), 19 (Covenant of Further Assurances) or 26 (Tax and Accounting Consequences).

  • Rule 144 Reporting.........................................................

  • REGISTRATION; RESTRICTIONS ON TRANSFER 3 2.1 Restrictions on Transfer 3 2.2 Demand Registration 4 2.3 Piggyback Registrations 6 2.4 Form S-3 Registration 7 2.5 Expenses of Registration 8 2.6 Obligations of the Company 8 2.7 Delay of Registration; Furnishing Information 10 2.8 Indemnification 11 2.9 Assignment of Registration Rights 13 2.10 Limitation on Subsequent Registration Rights 13 2.11 “Market Stand-Off” Agreement 14 2.12 Agreement to Furnish Information 14 2.13 Rule 144 Reporting 14 SECTION 3.

Related to Rule 144 Reporting

  • SEC Rule 144 means Rule 144 promulgated by the SEC under the Securities Act.

  • Consumer reporting agency means any person that, for monetary fees, dues, or on a cooperative nonprofit basis, regularly engages in whole or in part in the practice of assembling or evaluating consumer credit information or other information concerning consumers for the purpose of furnishing consumer credit reports to third parties.

  • Exchange Act Regulations means the General Rules and Regulations under the Exchange Act.

  • Rule 144 means Rule 144 promulgated by the Commission pursuant to the Securities Act, as such Rule may be amended from time to time, or any similar rule or regulation hereafter adopted by the Commission having substantially the same effect as such Rule.

  • Rule 144A Information shall be such information as is specified pursuant to Rule 144A(d)(4) under the Securities Act (or any successor provision thereto).

  • Exchange Act means the Securities Exchange Act of 1934, as amended.

  • 1934 Exchange Act means the Securities Exchange Act of 1934 of the United States, as amended, and the rules and regulations thereunder as now in effect or as the same may from time to time be amended, re-enacted or replaced;

  • Rule 15c2-12 means Rule 15c2-12 under the Securities Exchange Act of 1934, as amended through the date of this Undertaking, including any official interpretations thereof.

  • Rule 159A “Rule 405” and “Rule 415” mean, in each case, such rule promulgated under the Securities Act (or any successor provision), as the same shall be amended from time to time.

  • SEC Rule means Rule 15c2-12 adopted by the Securities and Exchange Commission under the Securities Exchange Act of 1934.

  • Reporting Person means an officer, Director, or greater than ten percent stockholder of the Company within the meaning of Rule 16a-2 under the Exchange Act, who is required to file reports pursuant to Rule 16a-3 under the Exchange Act.

  • 1933 Act Regulations means the rules and regulations of the Commission under the 1933 Act.

  • Rule 482 Statement means a document that contains the number of Securities issued, the offering price and any other items dependent upon the offering price, prepared in accordance with the provisions of Rule 482 of the 1933 Act, a copy of which shall be attached as Schedule D hereto. “Statutory Prospectus” as of any time means the prospectus relating to the Securities that is included in the Registration Statement immediately prior to that time, including any document incorporated by reference therein. Each preliminary prospectus and the prospectus filed as part of the effective Registration Statement or as part of any amendment thereto, or filed pursuant to Rule 497 under the 1933 Act, complied when so filed in all material respects with the Rules and Regulations and each preliminary prospectus and the Prospectus delivered to the Underwriters for use in connection with this offering was identical to the electronically transmitted copies thereof filed with the Commission pursuant to XXXXX, except to the extent permitted by Regulation S-T. If a Rule 462(b) Registration Statement is required in connection with the offering and sale of the Securities, the Fund has complied or will comply with the requirements of Rule 111 under the 1933 Act Rules and Regulations and Rule 3a of the Commission’s Internal and Other Procedures (“Rule 3a”) relating to the payment of filing fees thereof. The Fund, subject to the Registration Statement having been declared effective and the filing of the Prospectus under Rule 497, has taken all required action under the 1933 Act, the 1940 Act, the Securities and Exchange Act of 1934, as amended (the “1934 Act”) and the Rules and Regulations to make the public offering and consummate the sale of the Securities as contemplated by this Agreement.

  • U.S. Exchange Act means the United States Securities Exchange Act of 1934, as amended;

  • 1934 Act Regulations means the rules and regulations of the Commission under the 1934 Act.

  • Rule 497 refers to Rule 497(c) or 497(h) under the Act, as applicable.

  • Rule 173 “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the Act.

  • Reporting Requirements As defined in Section 11.12.

  • Rule 144A means Rule 144A promulgated under the Securities Act.

  • Securities Act means the Securities Act of 1933, as amended.

  • Reporting means submission of claims data and data fields of information of a report.

  • Rule 424 means Rule 424 promulgated by the Commission pursuant to the Securities Act, as such Rule may be amended or interpreted from time to time, or any similar rule or regulation hereafter adopted by the Commission having substantially the same purpose and effect as such Rule.

  • Environmental Information Regulations means the Environmental Information Regulations 2004 and any guidance and/or codes of practice issued by the Information Commissioner or relevant government department in relation to such regulations.