Common use of Legend on Certificates; Entry of Stop Transfer Orders Clause in Contracts

Legend on Certificates; Entry of Stop Transfer Orders. (a) Each Founder Stockholder agrees that each outstanding certificate representing any Founder Shares that are subject to this Agreement shall bear an endorsement noted conspicuously on each such certificate reading substantially as follows: "The securities represented by this certificate were issued without registration under the Securities Act of 1933. No transfer of such securities may be made without an opinion of counsel, satisfactory to the Company, that such transfer may properly be made without registration under the Securities Act of 1933 or that such securities have been so registered under a registration statement which is in effect at the date of such transfer. The securities represented by this certificate are subject to the provisions of an agreement dated as of August [ ], 1999 among the Company and certain persons listed on Schedules I and II to such agreement, a copy of which is on file at the principal executive office of the Company, and such securities may be sold, assigned, pledged or otherwise transferred only in accordance with such agreement." (b) Each Founder Stockholder agrees to the entry of stop transfer orders against the transfer of legended certificates representing shares of Common Stock except in compliance with this Agreement.

Appears in 2 contracts

Samples: Stockholders Agreement (Neuberger Berman Inc), Stockholders Agreement (Neuberger Berman Inc)

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Legend on Certificates; Entry of Stop Transfer Orders. (a) Each Founder Stockholder agrees that each outstanding certificate representing any Founder Common Shares that which are subject to this Agreement shall bear an endorsement noted conspicuously on each such certificate reading substantially as follows: "The securities represented by this certificate were issued without registration under the Securities Act of 1933. No transfer of such securities may be made without an opinion of counsel, satisfactory to the Company, that such transfer may properly be made without registration under the Securities Act of 1933 or that such securities have been so registered under a registration statement which is in effect at the date of such transfer. The securities represented by this certificate are subject to the provisions of an agreement dated as of August [ ], 1999 2006 among the Company and certain persons listed on Schedules I and II named in Exhibit A to such agreement, a copy of which is on file at the principal executive office of the Company, and such securities may be sold, assigned, pledged or otherwise transferred only in accordance with such agreement." (b) Each Founder Stockholder agrees to the entry of stop transfer orders against the transfer of legended certificates representing shares of Common Stock Shares except in compliance with this Agreement.

Appears in 1 contract

Samples: Stockholders’ Agreement (Kbw, Inc.)

Legend on Certificates; Entry of Stop Transfer Orders. (a) Each Founder Stockholder agrees that each outstanding certificate representing any Founder Shares Covered Securities that are subject to this Agreement shall bear an endorsement noted conspicuously on each such certificate reading substantially as follows: "The securities represented evidenced by this certificate were issued without registration have not been registered under the Securities Act of 1933. No transfer , as amended (the "Act"), or under any state securities law and may not be sold, offered for sale, pledged, hypothecated or otherwise transferred in the absence of such an effective registration statement with respect thereto under the Act and any applicable state securities may be made without law, or the receipt by the Company of an opinion of counsel, reasonably satisfactory to the Company, that such transfer may properly be made without registration under the Securities Act of 1933 or that such securities have been so registered under a registration statement which is in effect at the date of such transfernot required. The securities represented by this certificate are subject to the provisions of an agreement a Stockholders' Agreement dated as of August [ ]24, 1999 among the Company and certain persons listed on Schedules Schedule I and II to such agreement, a copy of which is on file at the principal executive office of the Company, and such securities may be sold, assigned, pledged or otherwise transferred only in accordance with such agreement." (b) Each Founder Stockholder agrees to the entry of stop transfer orders against the transfer Transfer of legended certificates representing shares securities of Common Stock except the Company not in compliance with this Agreement.

Appears in 1 contract

Samples: Stockholders' Agreement (Labranche George M L Iv)

Legend on Certificates; Entry of Stop Transfer Orders. (a) Each Founder Stockholder Shareholder agrees that each outstanding certificate representing any Founder Initial Shares that are subject to this Agreement shall bear an endorsement noted conspicuously on each such certificate reading substantially as follows: "The securities represented by this certificate were issued without registration under the Securities Act of 1933. No transfer of such securities may be made without an opinion of counsel, reasonably satisfactory to the CompanyParent, that such transfer may properly be made without registration under the Securities Act of 1933 or that such securities have been so registered under a registration statement which is in effect at the date of such transfer. The securities represented by this certificate are subject to the provisions of an agreement dated as of August [ ]June 2, 1999 2004 among the Company Parent and certain persons listed on Schedules I and II the signature pages to such agreement, a copy of which is on file at the principal executive office of the CompanyParent, and such securities may be sold, assigned, pledged or otherwise transferred only in accordance with such agreement." (b) Each Founder Stockholder Shareholder agrees to the entry of stop transfer orders against the transfer of legended certificates representing shares of Common Stock except in compliance with this Agreement. (c) Each Shareholder that Owns Initial Shares issued prior to the date of this Agreement agrees to submit or cause the submission of any share certificates representing such Initial Shares to Parent for the application of the endorsement provided in Section 2.5(a) to each such certificate.

Appears in 1 contract

Samples: Stockholders Agreement (J Net Enterprises Inc)

Legend on Certificates; Entry of Stop Transfer Orders. (a) Each Founder Management Stockholder agrees that each outstanding certificate representing any Founder Management Shares that are subject to this Agreement shall bear an endorsement noted conspicuously on each such certificate reading substantially as follows: "The securities represented by this certificate were issued without registration under the Securities Act of 1933. No transfer of such securities may be made without an opinion of counsel, satisfactory to the Company, that such transfer may properly be made without registration under the Securities Act of 1933 or that such securities have been so registered under a registration statement which is in effect at the date of such transfer. The securities represented by this certificate are subject to the provisions of an agreement dated as of August [ ]__, 1999 1998 among the Company and certain persons listed on Schedules I and II to such agreement, a copy of which is on file at the principal executive office of the Company, and such securities may be sold, assigned, pledged or otherwise transferred only in accordance with such agreement." (b) Each Founder Management Stockholder agrees to the entry of stop transfer orders against the transfer of legended certificates representing shares of Common Stock except in compliance with this Agreement.

Appears in 1 contract

Samples: Stockholders Agreement (Neuberger Berman Inc)

Legend on Certificates; Entry of Stop Transfer Orders. (a) Each Founder Stockholder agrees that each outstanding certificate representing any Founder Common Shares that which are subject to this Agreement shall bear an endorsement noted conspicuously on each such certificate reading substantially as follows: "The securities represented by this certificate were issued without registration under the Securities Act of 1933. No transfer of such securities may be made without an opinion of counsel, satisfactory to the Company, that such transfer may properly be made without registration under the Securities Act of 1933 or that such securities have been so registered under a registration statement which is in effect at the date of such transfer. The securities represented by this certificate are subject to the provisions of an agreement dated as of August [ ]________, 1999 2006 among the Company and certain persons listed on Schedules I and II named in Exhibit A to such agreement, a copy of which is on file at the principal executive office of the Company, and such securities may be sold, assigned, pledged or otherwise transferred only in accordance with such agreement." (b) Each Founder Stockholder agrees to the entry of stop transfer orders against the transfer of legended certificates representing shares of Common Stock Shares except in compliance with this Agreement.

Appears in 1 contract

Samples: Stockholders’ Agreement (Kbw, Inc.)

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Legend on Certificates; Entry of Stop Transfer Orders. (a) Each Founder Stockholder agrees that each outstanding certificate representing any Founder Shares Covered Securities that are subject to this Agreement shall bear an endorsement noted conspicuously on each such certificate reading substantially as follows: "The securities represented evidenced by this certificate were issued without registration have not been registered under the Securities Act of 1933. No transfer , as amended (the "Act"), or under any state securities law and may not be sold, offered for sale, pledged, hypothecated or otherwise transferred in the absence of such an effective registration statement with respect thereto under the Act and any applicable state securities may be made without law, or the receipt by the Company of an opinion of counsel, reasonably satisfactory to the Company, that such transfer may properly be made without registration under the Securities Act of 1933 or that such securities have been so registered under a registration statement which is in effect at the date of such transfernot required. The securities represented by this certificate are subject to the provisions of an agreement a Stockholders' Agreement dated as of August [ ]__, 1999 among the Company and certain persons listed on Schedules Schedule I and II to such agreement, a copy of which is on file at the principal executive office of the Company, and such securities may be sold, assigned, pledged or otherwise transferred only in accordance with such agreement." (b) Each Founder Stockholder agrees to the entry of stop transfer orders against the transfer Transfer of legended certificates representing shares securities of Common Stock except the Company not in compliance with this Agreement.

Appears in 1 contract

Samples: Stockholders' Agreement (Labranche & Co Inc)

Legend on Certificates; Entry of Stop Transfer Orders. (a) Each Founder Stockholder agrees that each outstanding certificate representing any Founder Shares that are subject to this Agreement shall bear an endorsement noted conspicuously on each such certificate reading substantially as follows: "The securities represented by this certificate were issued without registration under the Securities Act of 1933. No transfer of such securities may be made without an opinion of counsel, satisfactory to the Company, that such transfer may properly be made without registration under the Securities Act of 1933 or that such securities have been so registered under a registration statement which is in effect at the date of such transfer. The securities represented by this certificate are subject to the provisions of an agreement dated as of August [ ]October 31, 1999 2003 among the Company and certain persons listed on Schedules I and II to such agreement, a copy of which is on file at the principal executive office of the Company, and such securities may be sold, assigned, pledged or otherwise transferred only in accordance with such agreement." (b) Each Founder Stockholder agrees to the entry of stop transfer orders against the transfer of legended certificates representing shares of Common Stock except in compliance with this Agreement.

Appears in 1 contract

Samples: Stockholders Agreement (Lehman Brothers Holdings Inc)

Legend on Certificates; Entry of Stop Transfer Orders. (a) Each Founder Stockholder agrees that each outstanding certificate representing any Founder Shares Covered Securities that are subject to this Agreement shall bear an endorsement noted conspicuously on each such certificate reading substantially as follows: "The securities represented evidenced by this certificate were issued without registration have not been registered under the Securities Act of 1933. No transfer , as amended (the "Act"), or under any state securities law and may not be sold, offered for sale, pledged, hypothecated or otherwise transferred in the absence of such an effective registration statement with respect thereto under the Act and any applicable state securities may be made without law, or the receipt by the Company of an opinion of counsel, reasonably satisfactory to the Company, that such transfer may properly be made without registration under the Securities Act of 1933 or that such securities have been so registered under a registration statement which is in effect at the date of such transfernot required. The securities represented by this certificate are subject to the provisions of an agreement a Stockholders' Agreement dated as of August [ ]__, 1999 among the Company and certain persons listed on Schedules I and II to such agreement, a copy of which is on file at the principal executive office of the Company, and such securities may be sold, assigned, pledged or otherwise transferred only in accordance with such agreement." (b) Each Founder Stockholder agrees to the entry of stop transfer orders against the transfer Transfer of legended certificates representing shares securities of Common Stock except the Company not in compliance with this Agreement.

Appears in 1 contract

Samples: Stockholders' Agreement (Labranche & Co Inc)

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