JMP Securities LLC Sample Clauses

JMP Securities LLC. Name Email Xxxx Xxxxxxx, Managing Director, Corporate Finance xxxxxxxx@xxxxxxxxxxxxx.xxx Xxxxxx Xxxxxxxx, Director, Corporate Services xxxxxxxxx@xxxxxxxxxxxxx.xxx Xxxxxx Xxxxxx, Chief Legal Officer xxxxxxx@xxxxxxxxxxxxx.xxx Xxx Xxxxxxxx, Chief Compliance Officer xxxxxxxxx@xxxxxxxxxxxxx.xxx Arlington Asset Investment Corp. Name Email
Sample 1See All (4)
AutoNDA by SimpleDocs
JMP Securities LLC. Xxxx Xxxxxxx – Managing Director, Corporate Finance, xxxxxxxx@xxxxxxxxxxxxx.xxx Xxxxx Xxxxxxxxx – Managing Director, Trading, xxxxxxxxxx@xxxxxxxxxxxxx.xxx Xxx Xxxxxx – Director, Trading, xxxxxxx@xxxxxxxxxxxxx.xxx Xxxxxx Xxxxxx – Chief Legal Officer, xxxxxxx@xxxxxxxxxxxxx.xxx Compliance Department – xxxxxxxxxx@xxxxxxxxxxxxx.xxx JonesTrading Institutional Services LLC Xxxxx Xxxxxx – Managing Director, xxxxxxx@xxxxxxxxxxxx.xxx Xxx Xxxxx – Managing Director, xxxx@xxxxxxxxxxxx.xxx Xxxx X’Xxxxxxxx – Managing Director, xxxxx@xxxxxxxxxxxx.xxx Xxxx Xxxxxx – Director, xxxxx@xxxxxxxxxxxx.xxx Xxxx Xxxxxxx – Director, xxxxxxxx@xxxxxxxxxxxx.xxx Xxxxx Xxxx – General Counsel, xxxxx@xxxxxxxxxxxx.xxx Invesco Mortgage Capital Inc. Name Email Xxxx Xxxxxxxx Xxxx.Xxxxxxxx@xxxxxxx.xxx Xxxxx Xxxx Xxxxx.Xxxx@xxxxxxx.xxx Xxxxx Xxxxxxxx Xxxxx.Xxxxxxxx@xxxxxxx.xxx Xxxxx Xxxxxxx Xxxxx.Xxxxxxx@xxxxxxx.xxx
Sample 1
JMP Securities LLC. Name Email Xxxx Xxxxxxx, Managing Director, Corporate Finance xxxxxxxx@xxxxxxxxxxxxx.xxx Xxxxxx Xxxxxxxx, Director, Corporate Services xxxxxxxxx@xxxxxxxxxxxxx.xxx Xxxxxx Xxxxxx, Chief Legal Officer xxxxxxx@xxxxxxxxxxxxx.xxx Xxx Xxxxxxxx, Chief Compliance Officer xxxxxxxxx@xxxxxxxxxxxxx.xxx Western Asset Mortgage Capital Corporation Name Email Xxxx Xxxxx, Chief Financial Officer Xxxx.Xxxxx@xxxxxxxxxxxx.xxx Xxxxxxx Xxxxxxxx, Chief Operating Officer Xxxxxxx.Xxxxxxxx@xxxxxxxxxxxx.xxx EXHIBIT C COMPENSATION The Placement Agent shall be paid compensation of up to 2% of the gross proceeds from the sales of Securities pursuant to the terms of this Agreement. EXHIBIT D ISSUER GENERAL USE FREE WRITING PROSPECTUS None. EXHIBIT E OFFICER’S CERTIFICATE The undersigned, Xxxx Xxxxx and Xxxxxxx X. Xxxx xx Xxxxx, are the Chief Financial Officer and Secretary, respectively, of Western Asset Mortgage Capital Corporation, a Delaware corporation (the “Company”), and Western Asset Management Company, a California corporation (the “Manager”). The undersigned hereby execute this Certificate in connection with the closing held as of the date hereof pursuant to the terms of that certain Equity Distribution Agreement, dated March 6, 2017 (the “Equity Distribution Agreement”), among the Company, the Manager and JMP Securities LLC. Capitalized terms used herein without definition shall have the meanings given to such terms in the Equity Distribution Agreement. The undersigned each hereby further certifies, in their respective capacities as officers of the Company or the Manager, as applicable, in its own capacity that:
Sample 1
JMP Securities LLC. Total.................. 3,800,000 ========= SCHEDULE B LIST OF SUBSIDIARIES [To Be Provided By Company]
Sample 1
JMP Securities LLC. Xxxx Xxx (Director, Corporate Services) (xxxx@xxxxxxxxxxxxx.xxx) Xxxxx Xxxxxxx (Managing Director, General Counsel) (xxxxxxxx@xxxxxxxxxxxxx.xxx) Xxxx Xxxxxxx (Vice President, Investment Banking) (xxxxxxxx@xxxxxxxxxxxxx.xxx)
Sample 1
JMP Securities LLC. Name E-mail Xxxxxx Xxxxxxxx, Director, ATM Trading Specialist xxxxxxxxx@xxxxxxxxxxxxx.xxx Xxx Xxxxxxxx, Chief Compliance Officer xxxxxxxxx@xxxxxxxxxxxxx.xxx Vascular Biogenics Ltd. Name E-mail Xxxx Xxxxxx xxxx@xxxxx.xxx Xxxx Ron xxxx@xxxxx.xxx Exhibit C
Sample 1
JMP Securities LLC. Total.............................................. ============= Sch A-1 SCHEDULE B NxStage Medical, Inc. - Shares of Common Stock (Par Value $- Per Share)
Sample 1
AutoNDA by SimpleDocs
JMP Securities LLC. Lxxxxx Brothers Inc.................
Sample 1
JMP Securities LLC. Total............ ================== EXHIBIT B SUBSIDIARIES OF THE COMPANY NAME JURISDICTION OF ORGANIZATION TYPE OF ENTITY ---- ---------------------------- -------------- ANMB Holdings LLC New York Limited Liability Company (managing member is -) ACM Gateway LLC Delaware Limited Liability Company (managing member is -) Arbor Texas CDS, LLC New York Limited Liability Company (managing member is -) ANMB Holdings II, LLC New York Limited Liability Company (managing member is -) ACM Dutch Village, LLC Delaware Limited Liability Company (managing member is -) ACM Evergreen, LLC New York Limited Liability Company (managing member is -) SIGNIFICANT SUBSIDIARIES Arbor Realty Limited Partnership Delaware Limited Partnership (general partner is Arbor Realty GPOP, Inc.) Arbor Realty GPOP, Inc. Delaware Corporation Arbor Realty LPOP, Inc. Delaware Corporation Arbor Realty Funding, LLC New York Limited Liability Company (managing member is -) EXHIBIT C LIST OF DIRECTORS AND OFFICERS OF THE COMPANY Ivan Kaufman Frederick C. Herbst John C. Kovarik Daniel M. Palmier Xxxx Xxxxx Jxxxxxxx X. Xxxxxxxxn Xxxxxxx Xxxxxxicx
Sample 1

Related to JMP Securities LLC

  • Forward Purchase Securities The Forward Purchase Shares and the shares of Common Stock issuable upon exercise of the Forward Purchase Warrants have been duly authorized and reserved for issuance and when issued and paid for in accordance with the Forward Purchase Contract and the Warrant Agreement, will be validly issued, fully paid and non-assessable. The holders of the Forward Purchase Securities are not and will not be subject to personal liability by reason of being such holders; the Forward Purchase Securities are not and will not be subject to the preemptive rights of any holders of any security of the Company or similar contractual rights granted by the Company; and all corporate action required to be taken for the authorization, issuance and sale of the Forward Purchase Securities has been duly and validly taken. The Forward Purchase Securities conform in all material respects to the descriptions thereof contained in the Registration Statement, the Sale Preliminary Prospectus and the Prospectus, as the case may be. When paid for and issued, the Forward Purchase Units and the Forward Purchase Warrants will constitute valid and binding obligations of the Company to issue the number and type of securities of the Company called for thereby in accordance with the terms thereof, and such Forward Purchase Units and Forward Purchase Warrants are enforceable against the Company in accordance with their respective terms, except: (i) as such enforceability may be limited by bankruptcy, insolvency, reorganization or similar laws affecting creditors’ rights generally; (ii) as enforceability of any indemnification or contribution provision may be limited under foreign, federal and state securities laws; and (iii) that the remedy of specific performance and injunctive and other forms of equitable relief may be subject to the equitable defenses and to the discretion of the court before which any proceeding therefor may be brought. The shares of Common Stock issuable upon exercise of the Forward Purchase Warrants have been reserved for issuance and upon the exercise of the applicable Forward Purchase Warrants and upon payment of the consideration therefor, and when issued in accordance with the terms thereof, such shares of Common Stock will be duly and validly authorized, validly issued, fully paid and non-assessable.

  • Investment Management If and to the extent requested by the Advisor, the Sub-Advisor shall, subject to the supervision of the Advisor, manage all or a portion of the investments of the Portfolio in accordance with the investment objective, policies and limitations provided in the Portfolio's Prospectus or other governing instruments, as amended from time to time, the Investment Company Act of 1940 (the "1940 Act") and rules thereunder, as amended from time to time, and such other limitations as the Trust or Advisor may impose with respect to the Portfolio by notice to the Sub-Advisor. With respect to the portion of the investments of the Portfolio under its management, the Sub-Advisor is authorized to make investment decisions on behalf of the Portfolio with regard to any stock, bond, other security or investment instrument, and to place orders for the purchase and sale of such securities through such broker-dealers as the Sub-Advisor may select. The Sub-Advisor may also be authorized, but only to the extent such duties are delegated in writing by the Advisor, to provide additional investment management services to the Portfolio, including but not limited to services such as managing foreign currency investments, purchasing and selling or writing futures and options contracts, borrowing money or lending securities on behalf of the Portfolio. All investment management and any other activities of the Sub-Advisor shall at all times be subject to the control and direction of the Advisor and the Trust's Board of Trustees.

  • Corporate Securities Law THE SALE OF THE SECURITIES WHICH ARE THE SUBJECT OF THIS AGREEMENT HAS NOT BEEN QUALIFIED WITH THE COMMISSIONER OF CORPORATIONS OF THE STATE OF CALIFORNIA AND THE ISSUANCE OF THE SECURITIES OR THE PAYMENT OR RECEIPT OF ANY PART OF THE CONSIDERATION THEREFOR PRIOR TO THE QUALIFICATION IS UNLAWFUL, UNLESS THE SALE OF SECURITIES IS EXEMPT FROM THE QUALIFICATION BY SECTION 25100, 25102 OR 25105 OF THE CALIFORNIA CORPORATIONS CODE. THE RIGHTS OF ALL PARTIES TO THIS AGREEMENT ARE EXPRESSLY CONDITIONED UPON THE QUALIFICATION BEING OBTAINED UNLESS THE SALE IS SO EXEMPT.

  • Asset Management a. Data Sensitivity - Transfer Agent acknowledges that it understands the sensitivity of Fund Data.

  • Print Name of Buyer By: ---------------------------------------- Name: Title: IF AN ADVISOR: Print Name of Buyer Date: ------------------------------------- EXHIBIT K [TEXT OF AMENDMENT TO POOLING AND SERVICING AGREEMENT PURSUANT TO SECTION 11.01(E) FOR A LIMITED GUARANTY]

  • California Corporate Securities Law THE SALE OF THE SECURITIES THAT ARE THE SUBJECT OF THIS WARRANT HAS NOT BEEN QUALIFIED WITH THE COMMISSIONER OF CORPORATIONS OF THE STATE OF CALIFORNIA AND THE ISSUANCE OF SUCH SECURITIES OR THE PAYMENT OR RECEIPT OF ANY PART OF THE CONSIDERATION THEREFOR PRIOR TO SUCH QUALIFICATION IS UNLAWFUL, UNLESS THE SALE OF SECURITIES IS EXEMPT FROM QUALIFICATION BY SECTION 25100, 25102, OR 25105 OF THE CALIFORNIA CORPORATIONS CODE. THE RIGHTS OF ALL PARTIES TO THIS WARRANT ARE EXPRESSLY CONDITIONED UPON THE QUALIFICATION BEING OBTAINED, UNLESS THE SALE IS SO EXEMPT.

  • Portfolio Securities Portfolio securities of the Issuer may be bought or sold by or through Distributors, and Distributors may participate directly or indirectly in brokerage commissions or "spreads" for transactions in portfolio securities of the Issuer.

  • Securities Lending The Separate Accounts may participate in a securities lending program consistent with the terms of the general account securities lending program in which collateral is received for loaned securities, provided investments made with such collateral are invested within the Separate Accounts in assets consistent with these Investment guidelines and that match securities lending program liabilities.

  • Cornerstone shall notify the LLC and confirm such advice in writing (i) when the filing of any post-effective amendment to the Registration Statement or supplement to the Prospectus is required, when the same is filed and, in the case of the Registration Statement and any post-effective amendment, when the same becomes effective, (ii) of any request by the Securities and Exchange Commission for any amendment of or supplement to the Registration Statement or the Prospectus or for additional information and (iii) of the entry of any stop order suspending the effectiveness of the Registration Statement or the initiation or threatening of any proceedings for that purpose, and, if such stop order shall be entered, Cornerstone shall use its best efforts promptly to obtain the lifting thereof.

  • State Securities Qualification We act solely as agent for the Funds and are not responsible for qualifying the Funds or their shares for sale in any jurisdiction. Upon written request we will provide you with a list of the jurisdictions in which the Funds or their shares are qualified for sale. We also are not responsible for the issuance, form, validity, enforceability or value of Fund shares.

Time is Money Join Law Insider Premium to draft better contracts faster.