PROFESSIONAL INVESTMENT COMMUNITY AWARENESS Sample Clauses

PROFESSIONAL INVESTMENT COMMUNITY AWARENESS. A. Introductions to professionals at select firms, with a focus on members of the Financial Community in various geographic regions, both in the United States, Canada and Europe. The targeted group of professionals, which would be drawn from our proprietary database of contacts will be a subset of the following:
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PROFESSIONAL INVESTMENT COMMUNITY AWARENESS. A. Conference calls/meetings arranged by HIR with BMAQ in select cities (and at compatible times) with executive management at BMAQ. Target cities shall include New York, Boston, Baltimore/Washington Metropolitan area, Philadelphia, Greenwich/Stamford, Dallas, Houston, St. Louis, Denver, Atlanta, Phoenix/Scottsdale, Chicago, Minneapolis, Milwaukee, Southern California, San Francisco, and other select cities that express interest. Our mutual goal is to optimize when and where possible a mix of approximately five to eight meetings in a single day and to combine contacts when possible to maximize “throughput.” HIR at a minimum will commit to executing three (3) days of road shows per quarter. In addition to formal “road shows” we will set up teleconference calls for management with interested investors per management’s availability as we find interest in-between/outside of road shows.
Sample 1
PROFESSIONAL INVESTMENT COMMUNITY AWARENESS. A. Conference calls/meetings arranged by HIR in select cities (and at compatible times) with senior management at TSNI. Target cities include New York, Baltimore, Boston, Greenwich/Stamford, Dallas, San Antonio, Houston, Denver, Atlanta, Phoenix/Scottsdale, Charlotte, Chicago, Minneapolis, Southern Florida, Southern California, San Francisco, St. Louis, and other select cities that express interest. Goal is six to eight meetings in a single day and we combine contacts to increase the number of participants at each meeting when possible. HIR will commit to executing 5 days of road shows per quarter.
Sample 1
PROFESSIONAL INVESTMENT COMMUNITY AWARENESS. A. Introductions to professionals at select firms, with a focus on members of the Financial Community in various geographic regions, both in the United States, Canada and Europe. The targeted group of professionals, which would be drawn from our proprietary database of contacts will be a subset of the following: - Over 15,000 Equity Brokers - Over 800 Analysts (Buy and Sell Side - both generalists and industry specialists) - Over 6,500 Micro-Cap Portfolio/Hedge Fund Managers - Over 120 Market Makers (both retail and wholesale) - Financial, Trade and Industry Publications
Sample 1
PROFESSIONAL INVESTMENT COMMUNITY AWARENESS. A. Conference calls/meetings arranged by HIR with VLYF in select cities with executive management of VLYF. Target cities at the minimum shall include New York, Baltimore/Washington Metropolitan area, Boston, Greenwich/Stamford, Dallas, San Antonio, Houston, Denver, Atlanta, Philadelphia, Phoenix/Scottsdale, Charlotte, Chicago, Minneapolis, Southern Florida, Southern California, San Francisco, St. Louis, and other select cities that express interest. Our mutual goal is to optimize when and where possible a mix of meetings of approximately five to seven meetings in a single day and when possible to combine contacts to increase the number of participants at each meeting. HIR at a minimum will commit to executing three (3) days of road shows per quarter.
Sample 1
PROFESSIONAL INVESTMENT COMMUNITY AWARENESS. The key focus is will be finding the proper audience of micro-cap focused, value driven investors who can invest in a company with your profile. Because of this, proactive outreach to well-targeted investors and analysts will be a vital component of our program. For most micro-cap companies, the audience of potential investors is limited and accessing them can be challenging. Finding the right investor at the right time, and making sure your “pitch” mirrors the unique approach of each investor is critical to attracting long-term shareholders, creating reasonable liquidity and driving shareholder value. HIRH has one of the most successful track records for introducing investors and we maintain the strongest network of micro-cap investors in the business. We consistently put our clients in front of investors who can take action immediately, and not when the client is larger or further along the corporate lifecycle. We target investors in our network for new clients using the following criteria:
Sample 1
PROFESSIONAL INVESTMENT COMMUNITY AWARENESS. Conference calls/meetings arranged by HIR with SRTN in select cities (and at compatible times) with executive management at SRTN. Target cities shall include New York, Boston, Baltimore/Washington Metropolitan area, Philadelphia, Greenwich/Stamford, Dallas, Houston, St. Louis, Denver, Atlanta, Phoenix/Scottsdale, Chicago, Minneapolis, Milwaukee, Southern California, San Francisco, and other select cities that express interest. Our mutual goal is to optimize when and where possible a mix of approximately five to eight meetings in a single day and to combine contacts when possible to maximize “throughput.” HIR at a minimum will commit to executing three (3) days of road shows per quarter. In addition to formal “road shows” we will set up teleconference calls for management with interested investors per management’s availability as we find interest in-between/outside of road shows. All interested parties will be continually updated of the Company’s progress via phone conversations and through our e-mail list for news releases. HIR will screen all investment firms for upcoming financial conferences, which would be appropriate for SRTN. HIR will work through the proper channels with the goal of receiving invitations for management to present at those conferences which are relevant.
Sample 1
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PROFESSIONAL INVESTMENT COMMUNITY AWARENESS. A. Conference calls/meetings arranged by HJR with JOSA in select cities (and at compatible times) with executive management at IOSA. Target cities shall include New York, Boston, Baltimore/Washington Metropolitan area, Philadelphia, Greenwich/Stamford, Dallas, Houston, St. Louis, Denver) Atlanta, Phoenix/Scottsdale, Chicago, Minneapolis, Milwaukee, Southern California, San Francisco, and other select cities that express interest. Hayden has particular strength in securing investor meetings beyond the traditional tier-1 markets such as New York and Boston, and expects to focus initial efforts on those other markets. Our mutual goal is to optimize when and where possible a mix of approximately five to eight meetings in a single day and to combine contacts when possible to maximize "throughput." HIR at a minimum will commit to executing two (2) days of road shows per quarter. In addition to formal "road shows” we will set up teleconference calls for management with interested investors per management's availability as we find interest in-between/outside of road shows.
Sample 1

Related to PROFESSIONAL INVESTMENT COMMUNITY AWARENESS

  • Investment Advisory Services The Adviser undertakes to act as investment adviser of the Portfolio and shall, subject to the supervision of the Fund's Board of Trustees, direct the investments of the Portfolio in accordance with the investment objective, policies and limitations as provided in the Portfolio's Prospectus or other governing instruments, as amended from time to time, the Investment Company Act of 1940 and rules thereunder, as amended from time to time (the "1940 Act"), and such other limitations as the Portfolio may impose by notice in writing to the Adviser. The Adviser shall also furnish for the use of the Portfolio office space and all necessary office facilities, equipment and personnel for servicing the investments of the Portfolio; and shall pay the salaries and fees of all officers of the Fund, of all Trustees of the Fund who are "interested persons" of the Fund or of the Adviser and of all personnel of the Fund or the Adviser performing services relating to research, statistical and investment activities. The Adviser is authorized, in its discretion and without prior consultation with the Portfolio, to buy, sell, lend and otherwise trade in any stocks, bonds and other securities and investment instruments on behalf of the Portfolio. The investment policies and all other actions of the Portfolio are and shall at all times be subject to the control and direction of the Fund's Board of Trustees.

  • REGULATORY ADMINISTRATION SERVICES BNY Mellon shall provide the following regulatory administration services for each Fund and Series:  Assist the Fund in responding to SEC examination requests by providing requested documents in the possession of BNY Mellon that are on the SEC examination request list and by making employees responsible for providing services available to regulatory authorities having jurisdiction over the performance of such services as may be required or reasonably requested by such regulatory authorities;  Assist with and/or coordinate such other filings, notices and regulatory matters and other due diligence requests or requests for proposal on such terms and conditions as BNY Mellon and the applicable Fund on behalf of itself and its Series may mutually agree upon in writing from time to time; and

  • Financial Public Relations Firm Promptly after the execution of a definitive agreement for a Business Combination, the Company shall retain a financial public relations firm reasonably acceptable to the Representative for a term to be agreed upon by the Company and the Representative.

  • Holding Company and Investment Company Acts Neither the Borrower nor any of its Subsidiaries is a "holding company", or a "subsidiary company" of a "holding company", or an "affiliate" of a "holding company", as such terms are defined in the Public Utility Holding Company Act of 1935; nor is it an "investment company", or an "affiliated company" or a "principal underwriter" of an "investment company", as such terms are defined in the Investment Company Act of 1940.

  • Investment Company; Public Utility Holding Company Neither the Company nor any Subsidiary is an "investment company" or a company "controlled" by an "investment company" within the meaning of the Investment Company Act of 1940, as amended, or a "public utility holding company" within the meaning of the Public Utility Holding Company Act of 1935, as amended.

  • Research Independence The Company acknowledges that each Underwriter’s research analysts and research departments, if any, are required to be independent from their respective investment banking divisions and are subject to certain regulations and internal policies, and that such Underwriter’s research analysts may hold and make statements or investment recommendations and/or publish research reports with respect to the Company and/or the offering that differ from the views of its investment bankers. The Company hereby waives and releases, to the fullest extent permitted by law, any claims that the Company may have against such Underwriter with respect to any conflict of interest that may arise from the fact that the views expressed by their independent research analysts and research departments may be different from or inconsistent with the views or advice communicated to the Company by such Underwriter’s investment banking divisions. The Company acknowledges that the Representative is a full service securities firm and as such from time to time, subject to applicable securities laws, may effect transactions for its own account or the account of its customers and hold long or short position in debt or equity securities of the Company.

  • Investment Advisory and Management Services The Investment Adviser hereby appoints the Subadviser to serve as subadviser to the Fund and the Subadviser hereby accepts such appointment. Subject to the supervision of the Investment Adviser, Subadviser will regularly provide the Fund with investment advice and investment management services concerning the investments of the Fund. The Subadviser will determine what securities shall be purchased, held or sold by the Fund and what portion of the Funds assets shall be held uninvested in cash and cash equivalents, subject always to the provisions of the Trusts Declaration of Trust and By-laws and the 1940 Act, and to the investment objectives, policies and restrictions applicable to the Fund (including, without limitation, the requirements of Subchapters L and M of the Internal Revenue Code of 1986, as amended) (the Code), as each of the same shall be from time to time in effect or set forth in the Funds Prospectus and Statement of Additional Information, as well as any other investment guidelines or policies the Board of Trustees or the Investment Adviser may from time to time establish and deliver in writing to the Subadviser. To carry out such determinations the Subadviser will exercise full discretion, subject to the preceding paragraph, and act for the Fund in the same manner and with the same force and effect as the Trust might or could do with respect to purchases, sales or other transactions, as well as with respect to all other things necessary or incidental to the furtherance or conduct of such purchases, sales or other transactions. Notwithstanding the foregoing, the Subadviser shall, upon written instructions from the Investment Adviser, effect such portfolio transactions for the Fund as the Investment Adviser may from time to time direct. Such instructions will be given in reasonable circumstances, including, without limitation, any termination of this Agreement. The Subadviser will also make its officers and employees available to meet with the officers of the Investment Adviser and the Trusts officers and Trustees at least quarterly on due notice to review the investments and investment program of the Fund in the light of current and prospective economic and market conditions. From time to time as the Board of Trustees of the Trust or the Investment Adviser may reasonably request, the Subadviser will furnish to the Investment Adviser and Trusts officers and to each of its Trustees, at the Subadvisers expense, reports on portfolio transactions and reports on issues of securities held by the Fund, all in such detail as the Trust or the Investment Adviser may reasonably request. The Subadviser shall maintain all books and records required by Rule 31a-1 under the 1940 Act relating to its responsibilities provided hereunder with respect to the Fund, and shall preserve such records for the periods and in a manner prescribed by Rule 31a-2 under the 1940 Act. The Subadviser shall permit the Investment Adviser, the Funds officers and its independent public accountants to inspect and audit such records at reasonable times during normal business hours upon due notice. If any occasion should arise in which the Subadviser gives any advice to its clients concerning the shares of the Fund, the Subadviser will act solely as investment counsel for such clients and not in any way on behalf of the Fund. The Subadvisers services to the Fund pursuant to this Agreement are not to be deemed to be exclusive, and it is understood that the Subadviser may render investment advice, management and other services to others.

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