Securities Restrictions definition

Securities Restrictions means transfer restrictions or other Liens arising out of, under, or in connection with (i) the Securities Act, the Exchange Act, or other applicable federal, state, and local securities Laws and (ii) restrictions on transfer, hypothecation, or similar actions contained in any Governing Documents.
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Securities Restrictions means, with respect to any security (including the Company Stock), any restrictions (whether on the transferability thereof or otherwise) imposed on such security under the Securities Act or other applicable securities laws.
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Securities Restrictions means the securities Laws restrictions, and the transfer restrictions and obligations, voting proxy, right of first refusal and repurchase option under Articles V, VI and VII.
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Examples of Securities Restrictions in a sentence

  • Exchange and Registration of Transfer of Securities; Restrictions on Transfers; Depositary.......................................................................

  • Important information relating to Non-exempt Offers of N&C Securities Restrictions on Non-exempt Offers of N&C Securities in relevant Member States Certain Tranches of N&C Securities with a denomination of less than €100,000 (or its equivalent in any other currency) may be offered in circumstances where there is no exemption from the obligation under the Prospectus Directive to publish a prospectus.

  • Derivatives and the Senior Securities Restrictions of the Investment Company Act‌1.

  • Section 3.1 Right of Exercise 14 Section 3.2 Warrant Exercise 14 Section 3.3 Cashless Exercise 16 Section 3.4 Transfer Fees and Taxes 17 Section 3.5 Warrant Agency 17 Section 3.6 Effect of Exercise of Warrants 17 Section 3.7 Partial Exercise of Warrants; Fractions 18 Section 3.8 Expiration of Warrants 18 Section 3.9 Accounting and Recording 18 Section 3.10 Securities Restrictions 19 Section 3.11 U.S. Securities Law Matters 19 TABLE OF CONTENTS (continued) Page No.

  • Derivatives and the Senior Securities Restrictions of the Investment Company Act1.

  • The Warrant Agent shall provide such particulars in writing to the Corporation within five Business Days of any request by the Corporation therefor.ction 3.10 Securities Restrictions.

  • In contrast, there are many other instances in which funds, by employing derivatives, have avoided losses, increased returns, and lowered risk.B. Derivatives and the Senior Securities Restrictions of the Investment Company Act 1.

  • Exchange and Registration of Transfer of Securities; Restrictions on Transfers; Depositary..................................................12 Section 2.7. Replacement Securities....................................................19 Section 2.8. Outstanding Securities, Determinations of Holders' Action.................20 Section 2.9. Temporary Securities......................................................20 Section 2.10.

  • The Supreme Court accepted the position of the District Court that regulation 5 of Securities [Restrictions on Conflicts of Interest Between a Listed Company and its Controlling Shareholder], Regulation 5754-1994 [this corresponds today to section 281 of the Companies Act] does not grant the right to a personal claim but rather grants the right to claim only against the company.

  • In contrast, there are many other instances in which funds, by employing derivatives, have avoided losses, increased returns, and lowered risk.B. Derivatives and the Senior Securities Restrictions of the Investment Company Act1.


More Definitions of Securities Restrictions

Securities Restrictions means restrictions imposed on the transfer of securities by applicable federal and state securities Laws.
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Related to Securities Restrictions

  • Ownership Restrictions means collectively the Ownership Limit as applied to Persons other than the Initial Holder or Look-Through Entities, the Initial Holder Limit as applied to the Initial Holder and the Look-Through Ownership Limit as applied to Look-Through Entities.

  • SEC Restrictions has the meaning set forth in Section 2(b).

  • Investment Restrictions means the investment restrictions of the Fund as set forth in the Declaration of Trust including, without limitation, those described in section 2.0 of this Annual Information Form.

  • Put Restriction means the days between the beginning of the Pricing Period and Closing Date. During this time, the Company shall not be entitled to deliver another Put Notice.

  • Dealing Restrictions means restrictions imposed by statute, order, regulation or Government directive, or by the Model Code or any code adopted by the Company based on the Model Code and for this purpose the Model Code means the Model Code on dealings in securities set out in Listing Rule 9, annex 1 (of the London Stock Exchange), as varied from time to time;

  • Transfer Restrictions means restrictions that prohibit the sale, exchange, transfer, assignment, pledge, hypothecation, fractionalization, hedge or other disposal (including through the use of any cash-settled instrument), whether voluntarily or involuntarily by the Grantee, of an Award or any shares of Common Stock, cash or other property delivered in respect of an Award.

  • Transfer Restriction means, with respect to any security or other property, any condition to or restriction on the ability of the holder thereof to sell, assign or otherwise transfer such security or other property or to enforce the provisions thereof or of any document related thereto, whether set forth in such security or other property itself or in any document related thereto or arising by operation of law, including, without limitation, such conditions or restrictions arising under federal, state or foreign laws or under any contracts, arrangements or agreements.

  • Trade Restrictions means trade, economic or investment sanctions, export controls, anti-terrorism, non- proliferation, anti-money laundering and similar restrictions in force pursuant to laws, rules and regulations imposed under Laws to which the Parties are subject.

  • Deed Restrictions means the deed restrictions to be recorded with respect to the Land, which deed restrictions shall be subject to the Director's approval and shall be commensurate with the nature and purpose of the Land as stated in the Recipient's application for grant funds under Revised Code Sections 164.20 through 164.27. The Deed Restrictions shall be perpetual and shall not be amended, released, extinguished or otherwise modified without the prior written approval of the Director, in the Director's sole discretion, who shall have full enforcement authority, as set forth more specifically in Section IX of this Agreement.

  • 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.

  • Restrictions means the restrictions on sale or other transfer set forth in Section 4.2 and the exposure to forfeiture set forth in Section 3.1.

  • Existing Transfer Restrictions means Transfer Restrictions under or arising in connection with (a) any lien routinely imposed on all securities by the Exchange as of the Closing Date, (b) the Reorganization Agreement (excluding the provisions from any amendments, restatements, amendments and restatements, supplements or other modifications to the Reorganization Agreement entered into after the Closing Date either (i) creating additional Transfer Restrictions with respect to LBRDK Shares or (ii) modifying any Transfer Restrictions with respect to LBRDK Shares existing under or arising in connection with the Reorganization Agreement (as in effect on the Closing Date), in each case, that adversely affect the Lenders in any material respect (and, for the avoidance of doubt, any transfer restrictions that exist in the Reorganization Agreement, as in effect on the Closing Date, shall be deemed “Existing Transfer Restrictions”)), (c) the federal securities laws of the United States (as in effect as of the Closing Date) to the extent that Borrower (or, if applicable, a Lender or the Administrative Agent) is deemed or determined to be an “affiliate” (within the meaning of Rule 144 (as in effect on the Closing Date)) of any Issuer as of the Funding Date and (d) the Securities Act solely as a result of the Initial Pledged Shares being “restricted securities” within the meaning of Rule 144 (as in effect as of the Closing Date), including any “holding period” restrictions under Rule 144(d), as of the Funding Date.

  • Internal lot restriction means a platted note, platted demarcation, or platted designation that:

  • Forfeiture Restrictions means any prohibitions and restrictions set forth herein with respect to the sale or other disposition of Shares issued to the Recipient hereunder and the obligation to forfeit and surrender such shares to the Company.

  • 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.

  • Payment Restriction shall have the meaning set forth in Section 6.1.

  • Transfer Restriction Event shall have the meaning specified in Section 2.11.

  • Private Restrictions means (as they may exist from time to time) any and all covenants, conditions and restrictions, private agreements, easements, and any other recorded documents or instruments affecting the use of the Property, the Building, the Leased Premises, or the Outside Areas.

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

  • 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.

  • 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).

  • Securities Lending Agreement means an agreement under which a local agency agrees to transfer securities to a borrower who, in turn, agrees to provide collateral to the local agency. During the term of the agreement, both the securities and the collateral are held by a third party. At the conclusion of the agreement, the securities are transferred back to the local agency in return for the collateral.

  • Restricted Stock Legend means, with respect to any Conversion Share, a legend substantially to the effect that the offer and sale of such Conversion Share have not been registered under the Securities Act and that such Conversion Share cannot be sold or otherwise transferred except pursuant to a transaction that is registered under the Securities Act or that is exempt from, or not subject to, the registration requirements of the Securities Act.

  • 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.

  • 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:

  • Non-transferability means the occurrence of any event that makes it impossible for the Issuer to deliver Renminbi between accounts inside Hong Kong or from an account inside Hong Kong to an account outside Hong Kong, other than where such impossibility is due solely to the failure of the Issuer to comply with any law, rule or regulation enacted by any Governmental Authority (unless such law, rule or regulation is enacted after the Issue Date and it is impossible for the Issuer, due to an event beyond its control, to comply with such law, rule or regulation).