Common use of Recapitalization or Readjustment Clause in Contracts

Recapitalization or Readjustment. In case of any recapitalization, readjustment or other change in the capital structure of Fund requiring a change in the form of stock certificates, DST will issue or register certificates in the new form in exchange for, or in transfer of, the outstanding certificates in the old form, upon receiving: A. Written instructions from an officer of Fund; B. Certified copy of the amendment to the Articles of Incorporation or other document effecting the change; C. Certified copy of the order or consent of each governmental or regulatory authority, required by law to the issuance of the stock in the new form, and an opinion of counsel that the order or consent of no other government or regulatory authority is required; D. Specimens of the new certificates in the form approved by the Board of Directors of Fund, with a certificate of the Secretary of Fund as to such approval;

Appears in 1 contract

Samples: Agency Agreement (Sei Asset Allocation Trust)

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Recapitalization or Readjustment. In case of any recapitalization, readjustment or other change in the capital structure of Fund requiring a change in the form of stock certificates, DST IFTC will issue or register certificates in the new form in exchange for, or in transfer of, the outstanding certificates in the old form, upon receiving: A. Written instructions from an officer of Fund; B. Certified copy of the amendment to the Articles of Incorporation or other document effecting the change; C. Certified copy of the order or consent of each governmental or regulatory authority, required by law to the issuance of the stock in the new form, and an opinion of counsel that the order or consent of no other government or regulatory authority is required; D. Specimens of the new certificates in the form approved by the Board of Directors of Fund, with a certificate of the Secretary of Fund Funds as to such approval;.

Appears in 1 contract

Samples: Agency Agreement (Cowen Funds Inc)

Recapitalization or Readjustment. In case of any recapitalization, readjustment or other change in the capital structure of the Fund requiring a change in the form of stock share certificates, DST IFTC will issue or register certificates in the new form in exchange for, or in transfer of, the outstanding certificates in the old form, upon receiving: : A. Written instructions from an officer of the Fund; ; B. Certified copy of the amendment to the Articles of Incorporation or other document effecting the change; ; C. Certified copy of the order or consent of each governmental or regulatory authority, required by law to the issuance of the stock shares in the new form, and an opinion of counsel that the order or consent of no other government or regulatory authority is required; ; D. Specimens of the new certificates in the form approved by the Board of Directors of the Fund, with a certificate of the Secretary of the Fund as to such approval;; E.

Appears in 1 contract

Samples: Transfer Agency Agreement (Growth Fund of Washington Inc /Dc/)

Recapitalization or Readjustment. In case of any recapitalization, readjustment or other change in the capital structure of Fund requiring a change in the form of stock certificates, DST will issue or register certificates in the new form in exchange for, or in transfer of, the outstanding certificates in the old form, upon receiving: A. Written instructions from an officer of Fund; ; B. Certified copy of the amendment to the Articles of Incorporation or other document effecting the change; ; C. Certified copy of the order or consent of each governmental or regulatory authority, required by law to the issuance of the stock in the new form, and an opinion of counsel that the order or consent of no other government or regulatory authority is required; ; D. Specimens of the new certificates in the form approved by the Board of Directors of Fund, with a certificate of the Secretary of Fund as to such approval;; E.

Appears in 1 contract

Samples: Agency Agreement (Eai Select Managers Equity Fund)

Recapitalization or Readjustment. In case of any recapitalization, readjustment or other change in the capital structure of the Fund requiring a change in the form of stock certificatesshare certificates (if any), DST will issue or register certificates in the new form form, if any, in exchange for, or in transfer of, the outstanding certificates in the old form, upon receiving: A. Written instructions from an officer of the Fund; B. Certified copy of the amendment to the Articles Declaration of Incorporation Trust or other document effecting the change; C. Certified copy of the order or consent of each governmental or regulatory authority, required by law to the issuance of the stock shares in the new form, and an opinion of counsel that the order or consent of no other government or regulatory authority is required; D. Specimens of the new certificates in the form approved by the Board of Directors of the Fund, with a certificate of the Secretary of the Fund as to such approval;

Appears in 1 contract

Samples: Agency Agreement (Rivernorth Opportunities Fund, Inc.)

Recapitalization or Readjustment. In case of any recapitalization, readjustment or other change in the capital structure of a Fund requiring a change in the form of stock certificates, DST will issue or register certificates in the new form in exchange for, or in transfer of, the outstanding certificates in the old form, upon receiving: A. Written instructions from an officer of Fundthe Trust; B. Certified copy of the amendment to the Articles Declaration of Incorporation Trust or other document effecting the change; C. Certified copy of the order or consent of each governmental or regulatory authority, required by law to the issuance of the stock in the new form, and an opinion of counsel that the order or consent of no other government or regulatory authority is required; D. Specimens of the new certificates in the form approved by the Board of Directors Trustees of Fundthe Trust, with a certificate of the Secretary of Fund the Trust as to such approval;

Appears in 1 contract

Samples: Agency Agreement (Riverpark Funds Trust)

Recapitalization or Readjustment. In case of any recapitalization, readjustment or other change in the capital structure of the Fund requiring a change in the form of stock share certificates, DST will issue or register certificates in the new form in exchange for, or in transfer of, the outstanding certificates in the old form, upon receiving: A. Written instructions from an officer of the Fund; ; B. Certified copy of the amendment to the Articles of Incorporation or other document effecting the change; ; C. Certified copy of the order or consent of each governmental or regulatory authority, required by law to the issuance of the stock shares in the new form, and an opinion of counsel that the order or consent of no other government or regulatory authority is required; ; D. Specimens of the new certificates in the form approved by the Board of Directors Trustees of the Fund, with a certificate of the Secretary Clerk of the Fund as to such approval;; E.

Appears in 1 contract

Samples: Transfer Agency Agreement (Mutual Fund Select Trust)

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Recapitalization or Readjustment. In case of any recapitalization, readjustment or other change in the capital structure of Fund requiring a change in the form of stock share certificates, DST Pacific Mutual will issue or register certificates in the new form in exchange for, or in transfer of, the outstanding certificates in the old form, upon receiving: A. Written instructions from an officer of Fund; B. Certified copy of the amendment to the Articles Declaration of Incorporation Trust or other document effecting the change; C. Certified copy of the order or consent of each governmental or regulatory authority, authority required by law to the issuance of the stock shares in the new form, and an opinion of counsel that the order or consent of no other government or regulatory authority is required; D. Specimens of the new certificates in the form approved by the Board of Directors Trustees of Fund, with a certificate of the Secretary of Fund as to such approval;

Appears in 1 contract

Samples: Agency Agreement (Pacific Select Fund)

Recapitalization or Readjustment. In case of any recapitalization, readjustment or other change in the capital structure of Fund requiring a change in the form of stock share certificates, DST CFNB will issue or register certificates in the new form in exchange for, or in transfer of, the outstanding certificates in the old form, upon receiving: A. Written instructions from an officer of Fund; B. Certified copy of the amendment to the Articles Fund's Agreement and Declaration of Incorporation Trust or other document effecting the change; C. Certified copy of the order or consent of each governmental or regulatory authority, required by law to the issuance of the stock shares in the new form, and an opinion of counsel that the order or consent of no other government or regulatory authority is required; D. Specimens of the new certificates in the form approved by the Board of Directors Trustees of Fund, with a certificate of the Secretary of Fund as to such approval;

Appears in 1 contract

Samples: Agency Agreement (Mentor Institutional Trust)

Recapitalization or Readjustment. In case of any recapitalization, readjustment or other change in the capital structure of the Fund requiring a change in the form of stock certificates, DST will issue or register certificates in the new form in exchange for, or in transfer of, the outstanding certificates in the old form, upon receiving: A. Written instructions from an officer of the Fund; B. Certified copy of the amendment to the Articles of Incorporation or other document effecting the change; C. Certified copy of the order or consent of each governmental or regulatory authority, required by law to the issuance of the stock in the new form, and an opinion of counsel that the order or consent of no other government or regulatory reg ulatory authority is required; D. Specimens of the new certificates in the form approved by the Board of Directors of the Fund, with a certificate of the Secretary of the Fund as to such approval;

Appears in 1 contract

Samples: Agency Agreement (MDL Funds)

Recapitalization or Readjustment. In case of any recapitalization, readjustment or other change in the capital structure of Fund requiring a change in the form of stock share certificates, DST IFTC will issue or register certificates in the new form in exchange for, or in transfer of, the outstanding certificates in the old form, upon receiving: A. Written instructions from an officer of Fund; B. Certified copy of the amendment to the Articles Mentor Funds' Agreement and Declaration of Incorporation Trust or other document effecting the change; C. Certified copy of the order or consent of each governmental or regulatory authority, required by law to the issuance of the stock shares in the new form, and an opinion of counsel that the order or consent of no other government or regulatory authority is required; D. Specimens of the new certificates in the form approved by the Board Trustees of Directors of FundMentor Funds, with a certificate of the Secretary of Fund Mentor Funds as to such approval;

Appears in 1 contract

Samples: Agency Agreement (Mentor Funds)

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