Small Capitalization definition

Small Capitalization within the meaning of Rule 11Aa2-1 of the SEC under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the quotation of the Registrable Securities on the The Nasdaq Stock Market or if, despite the Company's commercially reasonable efforts to satisfy the preceding clause (i) or (ii), the Company is unsuccessful in doing so, to secure NASD authorization and quotation for such Registrable Securities on the over-the-counter bulletin board and, without limiting the generality of the foregoing, to arrange for at least two market makers to register with the National Association of Securities Dealers, Inc. ("NASD") as such with respect to such registrable securities;

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Small Capitalization within the meaning of Rule 11Aa2-1 of the SEC under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the quotation of the Registrable Securities on the Nasdaq Small Cap Market; or if, despite the Company's commercially reasonable efforts to satisfy the preceding clause (i) or (ii), the Company is unsuccessful in doing so, to secure NASD authorization and quotation for such Registrable Securities on the over-the-counter bulletin board and, without limiting the generality of the foregoing, to arrange for at least two market makers to register with the National Association of Securities Dealers, Inc. ("NASD") as such with respect to such registrable securities; provided, however, that the Subscriber acknowledges that the Company does not currently meet the requirements for listing on a national securities exchange or the Nasdaq Small Cap Market pursuant to (i) or (ii) and that nothing in this section shall be construed to require the Company to pursue such qualification until such time as the Company satisfies such requirements for a period of not less than forty-five (45) days:

Small Capitalization within the meaning of Rule 11Aa2-1 of the SEC under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the quotation of the Registrable Securities on the NASDAQ SmallCap Market; or if, despite the Company's reasonable efforts to satisfy the preceding clause, the Company is unsuccessful in doing so, to secure NASDAQ/OTC Bulletin Board authorization and quotation for such Registrable Securities and, without limiting the generality of the foregoing, to arrange for at least two market makers to register with the National Association of Securities Dealers, Inc. ("NASD") as such with respect to such Registrable Securities;

Examples of Small Capitalization in a sentence

• Portfolio Manager is hereby expressly put on notice of the limitations of shareholder and Trustee liability set forth in the Declaration of Trust of the Trust and agrees that obligations assumed by the Trust pursuant to this Agreement shall be limited in all cases to the assets of The Small Capitalization Equity Portfolio.

• PIFM has the responsibility of evaluating, recommending, supervising and compensating investment advisers to each portfolio of the Trust and desires to retain the Adviser to provide investment advisory services to the Small Capitalization Growth Fund of the Trust (the Fund) in connection with the management of the Trust and to manage such portion of the Fund as the Manager shall from time to time direct, and the Adviser is willing to render such investment advisory services.

• Risks Associated with Investments in Small Capitalization Companies : • A significant portion of the Option Securities may be securities of smaller, less established Companies.

• PIFM has the responsibility of evaluating, recommending, supervising and compensating investment advisers to each portfolio of the Trust and shall enter into subadvisory agreements with one or more subadvisers with respect to the management of the Small Capitalization Value Fund of the Trust (the Portfolio) in connection with the management of the Trust.

• PIFM has the responsibility of evaluating, recommending, supervising and compensating investment advisers to each portfolio of the Trust and desires to retain the Adviser to provide investment advisory services to the Small Capitalization Growth Portfolio of the Trust (the Fund) in connection with the management of the Trust and to manage such portion of the Fund as the Manager shall from time to time direct, and the Adviser is willing to render such investment advisory services.

• The Company hereby appoints the Adviser to act as investment adviser to its Small Capitalization Equity Portfolio (the "Portfolio") for the period and on such terms set forth in this Agreement.

• The current Funds of the Trust are the U.S. Small Capitalization Series, the International Small Capitalization Series, the Japan Series, the ▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Market Neutral Fund and the ▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Double Alpha Market Fund.

• Without limiting the authority of the Trustees set forth in Section 6.1(a) hereof to establish and designate further Portfolios, there are hereby established and designated the following six (6) Portfolios: the Sheffield Balanced Portfolio, the Sheffield Income and Growth Portfolio, the Sheffield Small Capitalization Portfolio, the Sheffield Growth Portfolio, the Sheffield MidCap Growth Portfolio and the Sheffield Leveraged AllCap Portfolio.

• American Funds Insurance Series – Global Small Capitalization Fund Burkehill Master Fund LP Ghisallo Master Fund LP Greenhaven Road Capital Fund 1, LP Greenhaven Road Capital Fund 2, LP ▇▇▇▇ Street Global Trading, LLC Newtyn Partners, LP Newtyn TE Partners, LP P3-EQ, LLC Pleasant Lake Onshore Feeder Fund L.P.

• The Adviser acts as the "investment adviser" (as defined in Section 2(a)(20) of the Act) to the FMI Woodland Small Capitalization Value Fund (the "Fund"), a series of the Company's common stock, pursuant to the terms of an Investment Advisory Agreement.

More Definitions of Small Capitalization

Small Capitalization within the meaning of Rule 11Aa2-1 of the SEC under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the quotation of the Registrable Securities on the NASDAQ Small Cap Market.

Small Capitalization within the meaning of Rule 11Aa2-1 of the SEC under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the quotation of the Registrable Securities on the Nasdaq Small Cap Market; or if, despite the Company's commercially reasonable efforts to satisfy the preceding clause (i) or (ii), the Company is unsuccessful in doing so, to secure NASD authorization and quotation for such Registrable Securities on the over-the-counter bulletin board; PROVIDED, HOWEVER, that the Subscriber acknowledges that the Company does not currently meet the requirements for continued listing on the New York Stock Exchange.:

Small Capitalization within the meaning of Rule 11Aa2-1 of the SEC under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the quotation of the Registrable Securities on the NASDAQ Small Cap Market; or if, despite the Company's commercially reasonable efforts to satisfy the preceding clause (i) or (ii), the Company is unsuccessful in doing so, to secure NASD authorization and quotation for such Registrable Securities on the over-thecounter bulletin board and, without limiting the generality of the foregoing, to arrange for at least two market makers to register with the National Association of Securities Dealers, Inc. ("NASD") as such with respect to such registrable securities; (h) Provide a transfer agent for the Registrable Securities not later than the effective date of the Registration Statement; (i) Cooperate with the Investors who hold Registrable Securities being offered to facilitate the timely preparation and delivery of certificates for the Registrable Securities to be offered pursuant to the Registration Statement and enable such certificates for the Registrable Securities to be in such denominations or amounts as the case may be, as the Investors may reasonably request and registration in such names as the Investors may request; and, within five (5) business days after a Registration Statement which includes Registrable Securities is ordered effective by the SEC, the Company shall deliver, and shall cause legal counsel selected by the Company to deliver, to the transfer agent for the Registrable Securities (with copies to the Investors whose Registrable Securities are included in such Registration /statement) an appropriate instruction and opinion of such counsel, if so required by the Company's transfer agent; and (j) Take all other reasonable actions necessary to expedite and facilitate distribution to the Investor of the Registrable Securities pursuant to the Registration Statement. 4.