Affiliated Underwriter definition

Affiliated Underwriter means Resolute Investment Distributors, Inc., a limited purpose broker-dealer acting as principal underwriter of the Beacon Funds.
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Affiliated Underwriter means any principal underwriter of a Fund that (i) is an affiliated person, as such term is defined in Section 2(a)(3) of the 1940 Act, of the Fund or the Adviser or (ii) has an officer, director or general partner who serves as an officer, director or general partner of the Fund or the Adviser.
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Affiliated Underwriter means any principal underwriter of the Company that (i) is an affiliated person, as such term is defined in Section 2(a)(3) of the 1940 Act, of the Company or the Adviser or (ii) has an officer, director or general partner who serves as an officer, director or general partner of the Company or the Adviser.
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Examples of Affiliated Underwriter in a sentence

  • No Benefit to Affiliated Underwriter (check ONE) [x] YES [ ] NO No affiliated underwriter was a direct or indirect participant in, or benefited directly or indirectly from, the transaction.

  • No Benefit to Affiliated Underwriter (check ONE) [X] YES [ ] NO No affiliated underwriter was a direct or indirect participant in, or benefited directly or indirectly from, the transaction.

  • No Affiliated Underwriter benefited directly or indirectly from the purchase.

  • No Affiliated Underwriter was a direct or indirect participant or benefited directly or indirectly from, the purchase.

  • In particular, "Affiliated Underwriter" is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable.

  • Affiliated Underwriter managing or participating in underwriting syndicate: Lehman Brothers Inc.

  • No Affiliated Underwriter was a direct or indirect participant in or beneficiary of the sale or, with respect to municipal securities, no purchases were designated as group sales or otherwise allocated to the account of any Affiliated Underwriter.

  • In particular, Affiliated Underwriter is defined as UBS AG and its affiliates.

  • In the case of a Fund advised by a Sub-Adviser, Affiliated Underwriter shall also include any brokerage affiliate of the Sub-Adviser.

  • No Affiliated Underwriter was a direct or indirect participant in or beneficiary of the sale.


More Definitions of Affiliated Underwriter

Affiliated Underwriter means Resolute Investment Distributors, Inc.
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Affiliated Underwriter has the meaning set forth in Section 17.
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Related to Affiliated Underwriter

  • Approved Underwriter has the meaning set forth in Section 3(f) of this Agreement.

  • IPO Underwriter means each Person named as an underwriter in Schedule I to the IPO Underwriting Agreement who purchases Common Units pursuant thereto.

  • Lead Underwriter means, in respect of a syndicate of underwriters,

  • Marketed Underwritten Offering means any Underwritten Offering (including a Marketed Underwritten Shelf Take-Down, but, for the avoidance of doubt, not including any Shelf Take-Down that is not a Marketed Underwritten Shelf Take-Down) that involves a customary “road show” (including an “electronic road show”) or other substantial marketing effort by the Company and the underwriters over a period of at least 48 hours.

  • Marketed Underwritten Shelf Take-Down has the meaning set forth in Section 2.02(e).

  • Company Underwriter has the meaning set forth in Section 4(a).

  • Underwriter means a securities dealer who purchases any Registrable Securities as principal in an Underwritten Offering and not as part of such dealer’s market-making activities.

  • Principal Underwriter shall have the meanings given them in the 1940 Act.

  • Qualified Independent Underwriter means a “qualified independent underwriter” within the meaning of FINRA Rule 5121.

  • related undertaking means any undertaking in which any person has a

  • Underwriter Group shall have the meaning set forth in Section 9.2(b) hereof.

  • Participating Underwriter means any of the original underwriters of the Bonds required to comply with the Rule in connection with offering of the Bonds.

  • Initiating Holder has the meaning set forth in Section 2.01(a).

  • Underwritten Shelf Takedown shall have the meaning given in subsection 2.3.3.

  • Oaktree means Oaktree Capital Management, LLC and its Affiliates, including any partnerships, separate accounts or other entities managed by Oaktree.

  • Participating Holders means all Holders of Registrable Securities which are proposed to be included in any offering of Registrable Securities pursuant to Section 2.1 or Section 2.2.

  • Shelf Underwritten Offering shall have the meaning given in subsection 2.1.3.

  • Participating Holder means any Holder of Registrable Securities that has returned a completed and signed Notice and Questionnaire to the Company in accordance with Section 2(b) hereof.

  • Electing Holder means any holder of Registrable Securities that has returned a completed and signed Notice and Questionnaire to the Company in accordance with Section 3(d)(ii) or 3(d)(iii) hereof.

  • Majority Participating Holders means Participating Holders holding more than 50% of the Registrable Securities proposed to be included in any offering of Registrable Securities by such Participating Holders pursuant to Section 2.1 or Section 2.2.

  • Managing Underwriter means, with respect to any Underwritten Offering, the book running lead manager of such Underwritten Offering.

  • Underwritten Offering means a Registration in which securities of the Company are sold to an Underwriter in a firm commitment underwriting for distribution to the public.

  • Initiating Holders means, collectively, Holders who properly initiate a registration request under this Agreement.

  • Underwritten Takedown means an underwritten public offering of Registrable Securities pursuant to the Resale Shelf Registration Statement, as amended or supplemented.

  • Qualified Initial Public Offering means a firm underwritten offering of the Company pursuant to a registration statement under the Securities Act (i) of common Capital Stock having an aggregate gross offering price of at least $50,000,000 and (ii) reasonably expected to result in more than 100 holders of record of Voting Stock of the Company (exclusive of holdings of Affiliates and employees of the Company).