Completion of Subscription Offer. 6.1 Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Common Stock to issue the appropriate number of shares of the Additional Common Stock as required in order to effectuate the Subscriptions. 6.2 The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “Rights Register”). 6.3 All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; provided, that until such transfer or exchange is registered in the Rights Register, Company and Agent may treat the registered holder thereof as the owner for all purposes. 6.4 For so long as this Agreement shall be in effect, Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer. 6.5 Company shall take any and all action, including, without limitation, obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure that all of the shares of the Additional Common Stock issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common Stock, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon Company with respect thereto. 6.6 Company shall, from time to time, take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal and state laws, which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock issued upon the exercise of the Rights.
Appears in 27 contracts
Samples: Subscription Agent Agreement (Gabelli Utility Trust), Subscription Agent Agreement (Western Asset Global High Income Fund Inc.), Subscription Agent Agreement (Western Asset High Income Fund Ii Inc.)
Completion of Subscription Offer. 6.1 5.1 Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Common Stock to issue the appropriate number of shares of the Additional Common Stock as required in order to effectuate the Subscriptions.
6.2 5.2 The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “Rights Register”).
6.3 5.3 All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of the Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; providedprovided that, that until such transfer or exchange is registered in the Rights Register, the Company and Agent may treat the registered holder thereof as the owner for all purposes.
6.4 5.4 For so long as this Agreement shall be in effect, the Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
6.5 5.5 The Company shall take any and all action, including, including without limitation, limitation obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure that all of the shares of the Additional Common Stock issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common Stock, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon the Company with respect thereto.
6.6 5.6 The Company shall, shall from time to time, time take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal Federal and state laws, laws which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock issued upon the exercise of the Rights.
Appears in 17 contracts
Samples: Subscription Agent Agreement (Liberty All Star Growth Fund Inc.), Subscription Agent Agreement (Liberty All Star Growth Fund Inc.), Subscription Agent Agreement (Gabelli Convertible & Income Securities Fund Inc)
Completion of Subscription Offer. 6.1 Upon completion of the Subscription Offer, :
(a) Mellon shall requisition certificates from the Transfer Agent shall request the transfer agent for the Common Stock to issue the appropriate number of for shares of the Additional Common Stock as required in order to effectuate the Subscriptionsfor which Subscriptions have been received.
6.2 (b) The Rights Certificates shall be issued in registered, book-entry registered form only. The Company shall appoint and have in office at all times a Transfer Agent and Registrar for the Certificates, which shall keep books and records of the registration, transfer registration and exchange transfers and exchanges of Certificates (such books and records are hereinafter called the "Certificate Register"). The Company shall promptly notify the Transfer Agent and Registrar of the Rights (exercise of any Certificates. The Company shall promptly notify Mellon of any change in the “Rights Register”)Transfer Agent and Registrar of the Certificates.
6.3 (c) All of the Rights Certificates issued upon any registration of transfer or exchange of the Rights Certificates shall be the valid obligations of the Company, evidencing the same obligations obligations, and entitled to the same benefits under this Agreement Agreement, as the Rights Certificates surrendered for such registration of transfer or exchange; provided.
(d) Any Certificate when duly endorsed in blank shall be deemed negotiable, that and when a Certificate shall have been so endorsed the holder thereof may be treated by the Company, Mellon and all other persons dealing therewith as the absolute owner thereof for any purpose and as the person entitled to exercise the rights represented thereby, any notice to the contrary notwithstanding, but until such transfer or exchange is registered in the Rights Certificate Register, the Company and Agent Mellon may treat the registered holder thereof as the owner for all purposes.
6.4 (e) For so long as this Agreement shall be in effect, the Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer. Subject to the terms and conditions of this Agreement, Mellon will request the Transfer Agent for the Common Stock to issue certificates evidencing the appropriate number of shares of Additional Common Stock as required from time to time in order to effectuate the Subscriptions.
6.5 (f) The Company shall take any and all action, including, including without limitation, limitation obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure that all of the shares of the Additional Common Stock issuable upon the exercise of the Rights Certificates at the time of delivery of the certificates therefor (subject to payment of the Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common Stock, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon the Company with respect thereto.
6.6 (g) The Company shall, shall from time to time, time take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal Federal and state laws, laws which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights Certificates or the Additional Common Stock issued upon the exercise of the RightsCertificates.
Appears in 5 contracts
Samples: Subscription Agent Agreement (Lynch Corp), Subscription Agent Agreement (Lynch Corp), Subscription Agent Agreement (Lynch Corp)
Completion of Subscription Offer. 6.1 Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Common Stock Shares to issue the appropriate number of shares of the Additional Common Stock Shares as required in order to effectuate the Subscriptions.
6.2 The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “Rights Register”).
6.3 All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; provided, that until such transfer or exchange is registered in the Rights Register, Company and Agent may treat the registered holder thereof as the owner for all purposes.
6.4 For so long as this Agreement shall be in effect, Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock Shares to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
6.5 Company shall take any and all action, including, without limitation, obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure ensure that all of the shares of the Additional Common Stock Shares issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and issued, fully paid and non-assessable shares of the Common StockShares, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon Company with respect thereto.
6.6 Company shall, from time to time, take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal and state laws, which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock Shares issued upon the exercise of the Rights.
Appears in 4 contracts
Samples: Subscription Agent Agreement (Gabelli Global Utility & Income Trust), Subscription Agent Agreement (Gabelli Utility Trust), Subscription Agent Agreement (Gabelli Multimedia Trust Inc.)
Completion of Subscription Offer. 6.1 (a) Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Common Stock Shares to issue the appropriate number of shares of the Additional Common Stock Shares as required in order to effectuate the Subscriptions.
6.2 (b) The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “Rights Register”).
6.3 (c) All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of the Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; providedprovided that, that until such transfer or exchange is registered in the Rights Register, the Company and Agent may treat the registered holder thereof as the owner for all purposes.
6.4 (d) For so long as this Agreement shall be in effect, the Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock Shares to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
6.5 (e) The Company shall take any and all action, including, including without limitation, limitation obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure that all of the shares of the Additional Common Stock Shares issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common StockShares, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon the Company with respect thereto.
6.6 (f) The Company shall, shall from time to time, time take all action reasonably necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal Federal and state laws, laws which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock Shares issued upon the exercise of the Rights.
Appears in 3 contracts
Samples: Subscription Agent Agreement, Subscription Agent Agreement (DNP Select Income Fund Inc), Subscription Agent Agreement (Reaves Utility Income Fund)
Completion of Subscription Offer. 6.1 Upon completion of the Subscription Offer, Agent :
(a) Continental shall request the transfer agent issue certificates for the Common Stock to issue the appropriate number of for shares of the Additional Common Stock as required in order to effectuate the Subscriptionsfor which Subscriptions have been received.
6.2 (b) The Rights Certificates shall be issued in registered, book-entry registered form only. The Company shall appoint and have in office at all times a Transfer Agent and Registrar for the Certificates, which may be Continental and which shall keep books and records of the registration, transfer registration and exchange transfers and exchanges of the Rights Certificates (such books and records are hereinafter called the “Rights Certificate Register”). The Company shall promptly notify the Transfer Agent and Registrar of the exercise of any Certificates. The Company shall promptly notify Continental of any change in the Transfer Agent and Registrar of the Certificates.
6.3 (c) All of the Rights Certificates issued upon any registration of transfer or exchange of the Rights Certificates shall be the valid obligations of the Company, evidencing the same obligations obligations, and entitled to the same benefits under this Agreement Agreement, as the Rights Certificates surrendered for such registration of transfer or exchange; provided.
(d) Any Certificate when duly endorsed in blank shall be deemed negotiable, that and when a Certificate shall have been so endorsed the holder thereof may be treated by the Company, Continental and all other persons dealing therewith as the absolute owner thereof for any purpose and as the person entitled to exercise the rights represented thereby, any notice to the contrary notwithstanding, but until such transfer or exchange is registered in the Rights Certificate Register, the Company and Agent Continental may treat the registered holder thereof as the owner for all purposes.
6.4 (e) For so long as this Agreement shall be in effect, the Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer. Subject to the terms and conditions of this Agreement, Continental will request the Transfer Agent for the Common Stock to issue certificates evidencing the appropriate number of shares of Additional Common Stock as required from time to time in order to effectuate the Subscriptions.
6.5 (f) The Company shall take any and all action, including, including without limitation, limitation obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure that all of the shares of the Additional Common Stock issuable upon the exercise of the Rights Certificates at the time of delivery of the certificates therefor (subject to payment of the Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common Stock, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon the Company with respect thereto.
6.6 (g) The Company shall, shall from time to time, time take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal Federal and state laws, laws which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights Certificates or the Additional Common Stock issued upon the exercise of the RightsCertificates.
Appears in 3 contracts
Samples: Subscription Agent Agreement (Western Sizzlin Corp), Subscription Agent Agreement (Western Sizzlin Corp), Subscription Agent Agreement (Western Sizzlin Corp)
Completion of Subscription Offer. 6.1 Upon completion of the Subscription Offer, :
(a) Continental shall requisition certificates from the Transfer Agent shall request the transfer agent for the Common Stock to issue the appropriate number of for shares of the Additional Common Stock as required in order to effectuate the Subscriptionsfor which Subscriptions have been received.
6.2 (b) The Rights Certificates shall be issued in registered, book-entry registered form only. The Company shall appoint and have in office at all times a Transfer Agent and Registrar for the Certificates, which may be Continental and which shall keep books and records of the registration, transfer registration and exchange transfers and exchanges of the Rights Certificates (such books and records are hereinafter called the “Rights Certificate Register”). The Company shall promptly notify the Transfer Agent and Registrar of the exercise of any Certificates. The Company shall promptly notify Continental of any change in the Transfer Agent and Registrar of the Certificates.
6.3 (c) All of the Rights Certificates issued upon any registration of transfer or exchange of the Rights Certificates shall be the valid obligations of the Company, evidencing the same obligations obligations, and entitled to the same benefits under this Agreement Agreement, as the Rights Certificates surrendered for such registration of transfer or exchange; provided.
(d) Any Certificate when duly endorsed in blank shall be deemed negotiable, that and when a Certificate shall have been so endorsed the holder thereof may be treated by the Company, Continental and all other persons dealing therewith as the absolute owner thereof for any purpose and as the person entitled to exercise the rights represented thereby, any notice to the contrary notwithstanding, but until such transfer or exchange is registered in the Rights Certificate Register, the Company and Agent Continental may treat the registered holder thereof as the owner for all purposes.
6.4 (e) For so long as this Agreement shall be in effect, the Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer. Subject to the terms and conditions of this Agreement, Continental will request the Transfer Agent for the Common Stock to issue certificates evidencing the appropriate number of shares of Additional Common Stock as required from time to time in order to effectuate the Subscriptions.
6.5 (f) The Company shall take any and all action, including, including without limitation, limitation obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure that all of the shares of the Additional Common Stock issuable upon the exercise of the Rights Certificates at the time of delivery of the certificates therefor (subject to payment of the Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common Stock, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon the Company with respect thereto.
6.6 (g) The Company shall, shall from time to time, time take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal Federal and state laws, laws which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights Certificates or the Additional Common Stock issued upon the exercise of the RightsCertificates.
Appears in 2 contracts
Samples: Subscription Agent Agreement (DLH Holdings Corp.), Subscription Agent Agreement (Teamstaff Inc)
Completion of Subscription Offer. 6.1 5.1 Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Common Stock Shares to issue the appropriate number of shares of the Additional Common Stock Shares as required in order to effectuate the Subscriptions.
6.2 5.2 The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “Rights Register”).
6.3 5.3 All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of the Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; providedprovided that, that until such transfer or exchange is registered in the Rights Register, the Company and Agent may treat the registered holder thereof as the owner for all purposes.
6.4 5.4 For so long as this Agreement shall be in effect, the Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock Shares to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
6.5 5.5 The Company shall take any and all action, including, including without limitation, limitation obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure that all of the shares of the Additional additional Common Stock Shares issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common StockShares, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon the Company with respect thereto.
6.6 5.6 The Company shall, shall from time to time, time take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal Federal and state laws, laws which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock Shares issued upon the exercise of the Rights.
Appears in 2 contracts
Samples: Subscription and Information Agent Agreement (Cushing Renaissance Fund), Subscription and Information Agent Agreement (Cushing Renaissance Fund)
Completion of Subscription Offer. 6.1 Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Common Stock to issue the appropriate number of shares of the Additional Common Stock as required in order to effectuate the Subscriptions.
6.2 The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “"Rights Register”").
6.3 All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; provided, that until such transfer or exchange is registered in the Rights Register, Company and Agent may treat the registered holder thereof as the owner for all purposes.
6.4 For so long as this Agreement shall be in effect, Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
6.5 Company shall take any and all action, including, without limitation, obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure that all of the shares of the Additional Common Stock issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common Stock, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon Company with respect thereto.
6.6 Company shall, from time to time, take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal and state laws, which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock issued upon the exercise of the Rights.
Appears in 2 contracts
Samples: Subscription Agent and Information Agent Agreement (RiverNorth Capital & Income Fund, Inc.), Subscription Agent Agreement (RiverNorth Capital & Income Fund, Inc.)
Completion of Subscription Offer. 6.1 5.1 Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Common Stock Shares to issue the appropriate number of shares of the Additional Common Stock Shares as required in order to effectuate the Subscriptions.
6.2 5.2 The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “Rights Register”).
6.3 5.3 All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of the Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; provided, that until such transfer or exchange is registered in the Rights Register, the Company and Agent may treat the registered holder thereof as the owner for all purposes.
6.4 5.4 For so long as this Agreement shall be in effect, the Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock Shares to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
6.5 5.5 The Company shall take any and all action, including, without limitation, obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure that all of the shares of the Additional Common Stock Shares issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common StockShares, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon the Company with respect thereto.
6.6 5.6 The Company shall, from time to time, take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal Federal and state laws, which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock Shares issued upon the exercise of the Rights.
Appears in 1 contract
Samples: Subscription Agent Agreement (Liberty All Star Equity Fund)
Completion of Subscription Offer. 6.1 Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Common Stock Shares to issue the appropriate number of shares of the Additional Common Stock Shares as required in order to effectuate the Subscriptions.
6.2 The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “Rights Register”).
6.3 All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; provided, that until such transfer or exchange is registered in the Rights Register, Company and Agent may treat the registered holder thereof as the owner for all purposes.
6.4 For so long as this Agreement shall be in effect, Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock Shares to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
6.5 Company shall take any and all action, including, without limitation, obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure ensure that all of the shares of the Additional Common Stock Shares issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common StockShares, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon Company with respect thereto.
6.6 Company shall, from time to time, take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal and state laws, which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock Shares issued upon the exercise of the Rights.
Appears in 1 contract
Samples: Subscription Agent Agreement (Aberdeen Income Credit Strategies Fund)
Completion of Subscription Offer. 6.1 Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Common Stock to issue the appropriate number of shares of the Additional Common Stock and Series C Preferred Stock as required in order to effectuate the Subscriptions.
6.2 The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “"Rights Register”").
6.3 All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; provided, that until such transfer or exchange is registered in the Rights Register, Company and Agent may treat the registered holder thereof as the owner for all purposes.
6.4 For so long as this Agreement shall be in effect, Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock and Series C Preferred Stock to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
6.5 Company shall take any and all action, including, without limitation, obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure that all of the shares of the Additional Common Stock and Series C Preferred Stock issuable upon the exercise of the Rights (subject to payment of the each Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common Stock, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon Company with respect thereto.
6.6 Company shall, from time to time, take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission SEC and any other governmental agency or authority and make such filings under federal and state laws, which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock and Series C Preferred Stock issued upon the exercise of the Rights.
Appears in 1 contract
Completion of Subscription Offer. 6.1 5.1 Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Common Stock to issue the appropriate number of shares of the Additional Common Stock as required in order to effectuate the Subscriptions.
6.2 5.2 The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “Rights Register”).
6.3 5.3 All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of the Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; providedprovided that, that until such transfer or exchange is registered in the Rights Register, the Company and Agent may treat the registered holder thereof as the owner for all purposes.
6.4 5.4 For so long as this Agreement shall be in effect, the Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
6.5 5.5 The Company shall take any and all action, including, including without limitation, limitation obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure that all of the shares of the Additional Common Stock issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common Stock, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon the Company with respect thereto.
6.6 5.6 The Company shall, shall from time to time, time take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal Federal and state laws, laws which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock issued upon the exercise of the Rights.. RMR Subscription and Info Agent Agreement and Fees Revised 072617 Page 5
Appears in 1 contract
Samples: Subscription Agent Agreement
Completion of Subscription Offer. 6.1 Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Common Stock Shares to issue the appropriate number of shares of the Additional Common Stock Shares as required in order to effectuate the Subscriptions.
6.2 The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “Rights Register”).
6.3 All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; provided, that until such transfer or exchange is registered in the Rights Register, Company and Agent may treat the registered holder thereof as the owner for all purposes.
6.4 For so long as this Agreement shall be in effect, Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock Shares to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
6.5 Company shall take any and all action, including, without limitation, obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure that all of the shares of the Additional Common Stock Shares issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and legally issued, fully paid and non-assessable shares of the Common StockShares, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon Company with respect thereto.
6.6 Company shall, from time to time, take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal and state laws, which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock Shares issued upon the exercise of the Rights.
Appears in 1 contract
Samples: Subscription Agent Agreement (BlackRock Science & Technology Trust)
Completion of Subscription Offer. 6.1 Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Common Stock to issue the appropriate number of shares of the Additional Common Stock as required in order to effectuate the Subscriptions.
6.2 The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “Rights Register”).
6.3 All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; provided, that until such transfer or exchange is registered in the Rights Register, Company and Agent may treat the registered holder thereof as the owner for all purposes.
. 6.4 For so long as this Agreement shall be in effect, Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
6.5 Company shall take any and all action, including, without limitation, obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure that all of the shares of the Additional Common Stock issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common Stock, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon Company with respect thereto.
6.6 Company shall, from time to time, take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal and state laws, which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock issued upon the exercise of the Rights.
Appears in 1 contract
Samples: Subscription Agent Agreement (Western Asset High Income Fund Ii Inc.)
Completion of Subscription Offer. 6.1 Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Common Stock to issue the appropriate number of shares of the Additional Common Stock Notes as required in order to effectuate the Subscriptions.
6.2 The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “Rights Register”).
6.3 All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; provided, that until such transfer or exchange is registered in the Rights Register, Company and Agent may treat the registered holder thereof as the owner for all purposes.
6.4 For so long as this Agreement shall be in effect, Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of Company securities undelying the Additional Common Stock Notes to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
6.5 Company shall take any and all action, including, without limitation, obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure that all of the shares of the Additional Common Stock Notes issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common StockNotes, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon Company with respect thereto.
6.6 Company shall, from time to time, take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal and state laws, which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock Notes issued upon the exercise of the Rights.
Appears in 1 contract
Samples: Subscription Agent Agreement (Wheeler Real Estate Investment Trust, Inc.)
Completion of Subscription Offer. 6.1 Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Common Stock to issue the appropriate number of shares of the Additional Common Stock as required in order to effectuate the Subscriptions.
. 6.2 The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “Rights Register”).
6.3 All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; provided, that until such transfer or exchange is registered in the Rights Register, Company and Agent may treat the registered holder thereof as the owner for all purposes.
6.4 For so long as this Agreement shall be in effect, Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
6.5 Company shall take any and all action, including, without limitation, obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure that all of the shares of the Additional Common Stock issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and issued, fully paid and non-assessable shares of the Common Stock, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon Company with respect thereto.
6.6 Company shall, from time to time, take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal and state laws, which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock issued upon the exercise of the Rights.
Appears in 1 contract
Samples: Subscription Agent Agreement (Blackrock Corporate High Yield Fund, Inc.)
Completion of Subscription Offer. 6.1 5.1 Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Common Stock Shares to issue the appropriate number of shares of the Additional Common Stock Shares and Preferred Shares as required in order to effectuate the Subscriptions.
6.2 5.2 The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “Rights Register”).
6.3 5.3 All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of Companythe Fund, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; providedprovided that, that until such transfer or exchange is registered in the Rights Register, Company the Fund and Agent may treat the registered holder thereof as the owner for all purposes.
6.4 5.4 For so long as this Agreement shall be in effect, Company the Fund will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock Shares and Preferred Shares to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
6.5 Company 5.5 The Fund shall take any and all action, including, including without limitation, limitation obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure ensure that all of the shares of the Additional Common Stock Shares and Preferred Shares issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common Stockbeneficial interest, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon Company the Fund with respect thereto.
6.6 Company shall, 5.6 The Fund shall from time to time, time take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal Federal and state laws, laws which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock Shares and Preferred Shares issued upon the exercise of the Rights.
Appears in 1 contract
Samples: Subscription Agent Agreement (Gabelli Global Utility & Income Trust)
Completion of Subscription Offer. 6.1 (a) Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Common Stock to issue the appropriate number of shares of the Additional Common Stock as required in order to effectuate the Subscriptions; provided, however, that the Agent shall follow the instructions of the Company Representative, given to the Agent in writing within five (5) business days of the Expiration Time, as to any Subscription which the Company Representative informs the Agent may belong to a shareholder that beneficially owns fifteen percent (15 %) or more of the Company’s Common Stock.
6.2 (b) The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “Rights Register”).
6.3 (c) All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of the Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; providedprovided that, that until such transfer or exchange is registered in the Rights Registerregister, the Company and Agent may treat the registered holder thereof as the owner for all purposes.
6.4 (d) For so long as this Agreement shall be in effect, the Company will reserve for issuance and keep available free from preemptive pre-emptive rights a sufficient number of shares of the Additional Common Stock to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
6.5 (e) The Company shall take any and all action, including, including without limitation, limitation obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure that all of the shares of the Additional Common Stock issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common Stock, free from all preemptive pre-emptive rights and taxes, liens, charges and security interests created by or imposed upon the Company with respect thereto.
6.6 (f) The Company shall, shall from time to time, time take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal Federal and state laws, laws which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock issued upon the exercise of the Rights.
Appears in 1 contract
Samples: Rights Subscription Agent Agreement (Energy Focus, Inc/De)
Completion of Subscription Offer. 6.1 Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Company’s Common Stock to issue the appropriate number of shares of the Additional Common Stock as required in order to effectuate the Subscriptions.
6.2 The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “Rights Register”).
6.3 All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; provided, that until such transfer or exchange is registered in the Rights Register, Company and Agent may treat the registered holder thereof as the owner for all purposes.
6.4 For so long as this Agreement shall be in effect, Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
6.5 Company shall take any and all action, including, without limitation, obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure that all of the shares of the Additional Common Stock issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common Stock, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon Company with respect thereto.
. 6.6 Company shall, from time to time, take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal and state laws, which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock issued upon the exercise of the Rights.
Appears in 1 contract
Samples: Subscription Agent Agreement (Neuberger Berman High Yield Strategies Fund Inc.)
Completion of Subscription Offer. 6.1 5.1 Upon completion of the Subscription Offer, Agent shall request the shall, in its capacity as transfer agent for the Common Stock to Stock, issue the appropriate number of shares of the Additional Common Stock as required in order to effectuate the Subscriptions.
6.2 5.2 The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “Rights Register”).
6.3 5.3 All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; provided, that until such transfer or exchange is registered in the Rights Register, Company and Agent may treat the registered holder thereof as the owner for all purposes.
6.4 5.4 For so long as this Agreement shall be in effect, Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
6.5 5.5 Company shall take any and all action, including, without limitation, obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure that all of the shares of the Additional Common Stock issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common Stock, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon Company with respect thereto.
6.6 5.6 Company shall, shall from time to time, time take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal Federal and state laws, laws which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock issued upon the exercise of the Rights.
Appears in 1 contract
Samples: Subscription Agent Agreement (Royce Value Trust, Inc.)
Completion of Subscription Offer. 6.1 Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Common Stock Shares to issue the appropriate number of shares of the Additional Common Stock Shares as required in order to effectuate the Subscriptions.
6.2 The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “Rights Register”).
6.3 All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; provided, that until such transfer or exchange is registered in the Rights Register, Company and Agent may treat the registered holder thereof as the owner for all purposes.
6.4 For so long as this Agreement shall be in effect, Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock Shares to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
. 6.5 Company shall take any and all action, including, without limitation, obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure ensure that all of the shares of the Additional Common Stock Shares issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common Stocknonassessable, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon Company with respect thereto.
6.6 Company shall, from time to time, take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal and state laws, which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock Shares issued upon the exercise of the Rights.
Appears in 1 contract
Samples: Subscription Agent Agreement (Gabelli Dividend & Income Trust)
Completion of Subscription Offer. 6.1 5.1 Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Common Stock Series C Preferred Shares to issue the appropriate number of shares of the Additional Common Stock Series C Preferred Shares as required in order to effectuate the Subscriptions.
6.2 5.2 The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange registration of the Rights (the “Rights Register”). The rights are non-transferable (except by operation of law) and as such may not be sold, transferred, assigned, or given away, and will not be listed on any exchange. In the event that any rights are transferred by operation of law, Agent will consult with Company regarding the procedures for evidencing such transfer.
6.3 All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; provided, that until such transfer or exchange is registered in the Rights Register, Company and Agent may treat the registered holder thereof as the owner for all purposes.
6.4 5.3 For so long as this Agreement shall be in effect, the Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock Series C Preferred Shares to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
6.5 5.4 The Company shall take any and all action, including, including without limitation, limitation obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure that all of the shares of the Additional Common Stock Series C Preferred Shares issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common Stockassessable, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon the Company with respect thereto.
6.6 5.5 The Company shall, shall from time to time, time take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal Federal and state laws, laws which may be necessary or appropriate in connection with the issuance and delivery of Rights or issuance, sale, transfer and delivery of the Rights or the Additional Common Stock Series C Preferred Shares issued upon the exercise of the Rights.
Appears in 1 contract
Completion of Subscription Offer. 6.1 Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Common Stock to issue the appropriate number of shares of the Additional Common Stock as required in order to effectuate the Subscriptions.
6.2 The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “Rights Register”).
6.3 All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; provided, that until such transfer or exchange is registered in the Rights Register, Company and Agent may treat the registered holder thereof as the owner for all purposes.
6.4 For so long as this Agreement shall be in effect, Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
6.5 Company shall take any and all action, including, without limitation, obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure that all of the shares of the Additional Common Stock issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common Stock, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon Company with respect thereto.
6.6 Company shall, from time to time, take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission SEC and any other governmental agency or authority and make such filings under federal and state laws, which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock issued upon the exercise of the Rights.
Appears in 1 contract
Samples: Subscription Agent Agreement (Oxford Square Capital Corp.)
Completion of Subscription Offer. 6.1 (a) Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Common Stock to issue the appropriate number of shares of the Additional Common Stock as required in order to effectuate the Subscriptions; provided, however, that the Agent shall follow the instructions of the Company Representative, given to the Agent in writing within five (5) business days of the Expiration Time, as to any Subscription which the Company Representative informs the Agent may belong to a shareholder that beneficially owns fifteen percent (15%) or more of the Company’s Common Stock.
6.2 (b) The Rights shall be issued in registered, book-entry the form onlyof Subscription Rights Certificate. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “Rights Register”).
6.3 (c) All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of the Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; providedprovided that, that until such transfer or exchange is registered in the Rights Registerregister, the Company and Agent may treat the registered holder thereof as the owner for all purposes.
6.4 (d) For so long as this Agreement shall be in effect, the Company will reserve for issuance and keep available free from preemptive pre-emptive rights a sufficient number of shares of the Additional Common Stock to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
6.5 (e) The Company shall take any and all action, including, including without limitation, limitation obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure that all of the shares of the Additional Common Stock issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common Stock, free from all preemptive pre-emptive rights and taxes, liens, charges and security interests created by or imposed upon the Company with respect thereto.
6.6 (f) The Company shall, shall from time to time, time take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal Federal and state laws, laws which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock issued upon the exercise of the Rights.
Appears in 1 contract
Samples: Rights Subscription Agent Agreement (Energy Focus, Inc/De)
Completion of Subscription Offer. 6.1 Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Common Stock to issue the appropriate number of shares of the Additional Common Stock as required in order to effectuate the Subscriptions.
6.2 The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “Rights Register”).
6.3 All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; provided, that until such transfer or exchange is registered in the Rights Register, Company and Agent may treat the registered holder thereof as the owner for all purposes.
. 6.4 For so long as this Agreement shall be in effect, Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
6.5 Company shall take any and all action, including, without limitation, obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure that all of the shares of the Additional Common Stock issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common Stock, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon Company with respect thereto.
6.6 Company shall, from time to time, take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal and state laws, which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock issued upon the exercise of the Rights.
Appears in 1 contract
Samples: Subscription Agent Agreement (Angel Oak Financial Strategies Income Term Trust)
Completion of Subscription Offer. 6.1 5.1 Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Common Stock Shares to issue the appropriate number of shares of the Additional Common Stock Shares as required in order to effectuate the Subscriptions.
6.2 5.2 The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “Rights Register”).
6.3 5.3 All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of the Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; providedprovided that, that until such transfer or exchange is registered in the Rights Register, the Company and Agent may treat the registered holder thereof as the owner for all purposes.
6.4 5.4 For so long as this Agreement shall be in effect, the Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock Shares to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
6.5 5.5 The Company shall take any and all action, including, including without limitation, limitation obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure that all of the shares of the Additional additional Common Stock Shares issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common StockShares, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon the Company with respect thereto.
6.6 5.6 The Company shall, shall from time to time, time take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal Federal and state laws, laws which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock Shares issued upon the exercise of the Rights.. EXKVIII Page 5
Appears in 1 contract
Completion of Subscription Offer. 6.1 5.1 Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Common Stock to issue the appropriate number of shares of the Additional Common Stock as required in order to effectuate the Subscriptions.
6.2 5.2 The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “Rights Register”).
6.3 5.3 All of the Rights issued upon any registration of transfer or exchange of the subscription Rights shall be the valid obligations of the Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; provided, that until such transfer or exchange is registered in the Rights Register, Company and Agent may treat the registered holder thereof as the owner for all purposes.
6.4 5.4 For so long as this Agreement shall be in effect, the Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
6.5 5.5 The Company shall take any and all action, including, including without limitation, limitation obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure that all of the shares of the Additional Common Stock issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common Stock, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon the Company with respect thereto.
6.6 5.6 The Company shall, shall from time to time, time take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal Federal and state laws, laws which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock issued upon the exercise of the Rights.
Appears in 1 contract
Samples: Subscription Agent Agreement (Enterprise Bancorp Inc /Ma/)
Completion of Subscription Offer. 6.1 Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Common Stock to issue the appropriate number of shares of the Additional Common Stock as required in order to effectuate the Subscriptions.
6.2 The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “Rights Register”).
6.3 All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; provided, that until such transfer or exchange is registered in the Rights Register, Company and Agent may treat the registered holder thereof as the owner for all purposes.. Subscription Agent Agreement – GAB Rights Offering (2021)
6.4 For so long as this Agreement shall be in effect, Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
6.5 Company shall take any and all action, including, without limitation, obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure ensure that all of the shares of the Additional Common Stock issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and issued, fully paid and non-assessable shares of the Common Stock, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon Company with respect thereto.
6.6 Company shall, from time to time, take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal and state laws, which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock issued upon the exercise of the Rights.
Appears in 1 contract
Samples: Subscription Agent Agreement (Gabelli Equity Trust Inc)
Completion of Subscription Offer. 6.1 5.1 Upon completion of the Subscription Offer, Agent shall request the transfer agent for the Common Stock to issue the appropriate number of shares of the Additional Common Stock as required in order to effectuate the Subscriptions.
6.2 5.2 The Rights shall be issued in registered, book-entry form only. Agent shall keep books and records of the registration, transfer and exchange of the Rights (the “"Rights Register”").
6.3 5.3 All of the Rights issued upon any registration of transfer or exchange of the Rights shall be the valid obligations of the Company, evidencing the same obligations and entitled to the same benefits under this Agreement as the Rights surrendered for such registration of transfer or exchange; providedprovided that, that until such transfer or exchange is registered in the Rights Register, the Company and Agent may treat the registered holder thereof as the owner for all purposes.
6.4 5.4 For so long as this Agreement shall be in effect, the Company will reserve for issuance and keep available free from preemptive rights a sufficient number of shares of the Additional Common Stock to permit the exercise in full of all of the Rights issued pursuant to the Subscription Offer.
6.5 5.5 The Company shall take any and all action, including, including without limitation, limitation obtaining the authorization, consent, lack of objection, registration or approval of any governmental authority, or the taking of any other action under the laws of the United States of America or any political subdivision thereof, to insure that all of the shares of the Additional Common Stock issuable upon the exercise of the Rights (subject to payment of the Subscription Price) will be duly and validly issued and fully paid and non-assessable shares of the Common Stock, free from all preemptive rights and taxes, liens, charges and security interests created by or imposed upon the Company with respect thereto.
6.6 5.6 The Company shall, shall from time to time, time take all action necessary or appropriate to obtain and keep effective all registrations, permits, consents and approvals of the Securities and Exchange Commission and any other governmental agency or authority and make such filings under federal Federal and state laws, laws which may be necessary or appropriate in connection with the issuance, sale, transfer and delivery of the Rights or the Additional Common Stock issued upon the exercise of the Rights.
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Samples: Subscription Agent Agreement (Reaves Utility Income Fund)