Common use of Restriction on Sale of Securities Clause in Contracts

Restriction on Sale of Securities. During a period of 30 days from the date of this Agreement, the Company will not, without the prior written consent of the Placement Agents, (i) directly or indirectly, offer, pledge, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of any shares of preferred stock or any securities convertible into or exercisable or exchangeable for preferred stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (ii) enter into any swap or any other agreement or any transaction that transfers, in whole or in part, directly or indirectly, the economic consequence of ownership of preferred stock, whether any such swap or transaction described in clause (i) or (ii) above is to be settled by delivery of preferred stock or such other securities, in cash or otherwise.

Appears in 105 contracts

Samples: Placement Agency Agreement, Placement Agency Agreement, Placement Agency Agreement

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Restriction on Sale of Securities. During a period of 30 days from the date of this Agreement, the Company will not, without the prior written consent of the Placement Agents, Representatives, (i) directly or indirectly, offer, pledge, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of any shares of preferred stock or any securities convertible into or exercisable or exchangeable for preferred stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (ii) enter into any swap or any other agreement or any transaction that transfers, in whole or in part, directly or indirectly, the economic consequence of ownership of preferred stock, whether any such swap or transaction described in clause (i) or (ii) above is to be settled by delivery of preferred stock or such other securities, in cash or otherwise.

Appears in 45 contracts

Samples: Underwriting Agreement (M&t Bank Corp), Underwriting Agreement (BNC Bancorp), Underwriting Agreement (Mackinac Financial Corp /Mi/)

Restriction on Sale of Securities. During a period of 30 days from the date of this Agreement, the Company will not, without the prior written consent of the Placement Agents, , (i) directly or indirectly, offer, pledge, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of any shares of preferred stock or any securities convertible into or exercisable or exchangeable for preferred stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (ii) enter into any swap or any other agreement or any transaction that transfers, in whole or in part, directly or indirectly, the economic consequence of ownership of preferred stock, whether any such swap or transaction described in clause (i) or (ii) above is to be settled by delivery of preferred stock or such other securities, in cash or otherwise.

Appears in 8 contracts

Samples: Placement Agency Agreement, Placement Agency Agreement, Placement Agency Agreement

Restriction on Sale of Securities. During a period of 30 days from the date of this Agreement, the Company will not, without the prior written consent of the Placement Agents, (i) directly or indirectly, offer, pledge, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of any shares of preferred stock debt securities or any securities convertible into or exercisable or exchangeable for preferred stock debt securities or file any registration statement under the 1933 Act with respect to any of the foregoing or (ii) enter into any swap or any other agreement or any transaction that transfers, in whole or in part, directly or indirectly, the economic consequence of ownership of preferred stockdebt securities, whether any such swap or transaction described in clause (i) or (ii) above is to be settled by delivery of preferred stock debt securities or such other securities, in cash or otherwise.

Appears in 7 contracts

Samples: Placement Agency Agreement, Placement Agency Agreement, Placement Agency Agreement

Restriction on Sale of Securities. During a period of 30 days from the date of this Agreement, the Company will not, without the prior written consent of the Placement AgentsAgent, (i) directly or indirectly, offer, pledge, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of any shares of preferred stock or any securities convertible into or exercisable or exchangeable for preferred stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (ii) enter into any swap or any other agreement or any transaction that transfers, in whole or in part, directly or indirectly, the economic consequence of ownership of preferred stock, whether any such swap or transaction described in clause (i) or (ii) above is to be settled by delivery of preferred stock or such other securities, in cash or otherwise.

Appears in 4 contracts

Samples: Placement Agency Agreement, Placement Agency Agreement, Placement Agency Agreement

Restriction on Sale of Securities. During a period of 30 days from the date of this Agreement, the Company will not, without the prior written consent of the Placement Agents, (i) directly or indirectly, offer, pledge, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of any shares of preferred stock debt securities, or any securities convertible into or exercisable or exchangeable for preferred stock debt securities, or file any registration statement under the 1933 Act with respect to any of the foregoing or (ii) enter into any swap or any other agreement or any transaction that transfers, in whole or in part, directly or indirectly, the economic consequence of ownership of preferred stockdebt securities, whether any such swap or transaction described in clause (i) or (ii) above is to be settled by delivery of preferred stock debt securities or such other securities, in cash or otherwise.

Appears in 3 contracts

Samples: Placement Agency Agreement, Placement Agency Agreement, Placement Agency Agreement

Restriction on Sale of Securities. During a period of 30 60 days from the date of this Agreementthe Prospectus, the Company will not, without the prior written consent of the Placement Agents, Representative, (i) directly or indirectly, offer, pledge, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of any shares of preferred stock Common Stock or any securities convertible into or exercisable or exchangeable for preferred stock Common Stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (ii) enter into any swap or any other agreement or any transaction that transfers, in whole or in part, directly or indirectly, the economic consequence of ownership of preferred stockthe Common Stock, whether any such swap or transaction described in clause (i) or (ii) above is to be settled by delivery of preferred stock Common Stock or such other securities, in cash or otherwise.

Appears in 2 contracts

Samples: Underwriting Agreement (WhiteHorse Finance, Inc.), Underwriting Agreement (WhiteHorse Finance, Inc.)

Restriction on Sale of Securities. During a period of 30 days from the date of this Agreement, the Company Bank will not, without the prior written consent of the Placement Agents, (i) directly or indirectly, offer, pledge, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of any shares of preferred stock or any securities convertible into or exercisable or exchangeable for preferred stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (ii) enter into any swap or any other agreement or any transaction that transfers, in whole or in part, directly or indirectly, the economic consequence of ownership of preferred stock, whether any such swap or transaction described in clause (i) or (ii) above is to be settled by delivery of preferred stock or such other securities, in cash or otherwise.

Appears in 2 contracts

Samples: Placement Agency Agreement, Placement Agency Agreement

Restriction on Sale of Securities. During a period of 30 days from the date of this Agreement, the Company Bank will not, without the prior written consent of the Placement Agents, , (i) directly or indirectly, offer, pledge, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of any shares of preferred stock or any securities convertible into or exercisable or exchangeable for preferred stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (ii) enter into any swap or any other agreement or any transaction that transfers, in whole or in part, directly or indirectly, the economic consequence of ownership of preferred stock, whether any such swap or transaction described in clause (i) or (ii) above is to be settled by delivery of preferred stock or such other securities, in cash or otherwise.

Appears in 2 contracts

Samples: Placement Agency Agreement, Placement Agency Agreement

Restriction on Sale of Securities. During a period of 30 days from the date of this Agreement, the Company will not, without the prior written consent of the Placement Agents, Representative, (i) directly or indirectly, offer, pledge, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of any shares of preferred stock or any securities convertible into or exercisable or exchangeable for preferred stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (ii) enter into any swap or any other agreement or any transaction that transfers, in whole or in part, directly or indirectly, the economic consequence of ownership of preferred stock, whether any such swap or transaction described in clause (i) or (ii) above is to be settled by delivery of preferred stock or such other securities, in cash or otherwise.

Appears in 2 contracts

Samples: Underwriting Agreement (First Financial Holdings Inc /De/), Underwriting Agreement

Restriction on Sale of Securities. During a period of 30 [ ] days from the date of this Agreementthe Prospectus, the Company will not, without the prior written consent of the Placement Agents, Representatives, (i) directly or indirectly, offer, pledge, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of any shares of preferred stock Common Stock or any securities convertible into or exercisable or exchangeable for preferred stock Common Stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (ii) enter into any swap or any other agreement or any transaction that transfers, in whole or in part, directly or indirectly, the economic consequence of ownership of preferred stockthe Common Stock, whether any such swap or transaction described in clause (i) or (ii) above is to be settled by delivery of preferred stock Common Stock or such other securities, in cash or otherwise.

Appears in 2 contracts

Samples: Underwriting Agreement (WhiteHorse Finance, Inc.), Underwriting Agreement (Garrison Capital Inc.)

Restriction on Sale of Securities. During a period of 30 days from the date of this Agreement, the Company will not, without the prior written consent of the Placement Agents, Representatives, (i) directly or indirectly, offer, pledge, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of any shares of preferred stock or any securities convertible into or exercisable or exchangeable for preferred stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (ii) enter into any swap or any other agreement or any transaction that transferstransfers from the Company to a third party, in whole or in part, directly or indirectly, the economic consequence of ownership of preferred stock, whether any such swap or transaction described in clause (i) or (ii) above is to be settled by delivery of preferred stock or such other securities, in cash or otherwise.

Appears in 2 contracts

Samples: Underwriting Agreement (WSFS Financial Corp), Underwriting Agreement

Restriction on Sale of Securities. During a period of 30 90 days from the date of this Agreementthe Prospectus, the Company will not, without the prior written consent of the Placement Agents, Representatives, (i) directly or indirectly, offer, pledge, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of any shares of preferred stock Common Stock or any securities convertible into or exercisable or exchangeable for preferred stock Common Stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (ii) enter into any swap or any other agreement or any transaction that transfers, in whole or in part, directly or indirectly, the economic consequence of ownership of preferred stockthe Common Stock, whether any such swap or transaction described in clause (i) or (ii) above is to be settled by delivery of preferred stock Common Stock or such other securities, in cash or otherwise.

Appears in 1 contract

Samples: Underwriting Agreement (WhiteHorse Finance, Inc.)

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Restriction on Sale of Securities. During a period of 30 45 days from the date of this Agreementthe Prospectus, the Company will not, without the prior written consent of the Placement Agents, Bxxxx, (i) directly or indirectly, offer, pledge, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of any shares of preferred stock Common Stock or any securities convertible into or exercisable or exchangeable for preferred stock Common Stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (ii) enter into any swap or any other agreement or any transaction that transfers, in whole or in part, directly or indirectly, the economic consequence of ownership of preferred stockthe Common Stock, whether any such swap or transaction described in clause (i) or (ii) above is to be settled by delivery of preferred stock Common Stock or such other securities, in cash or otherwise.

Appears in 1 contract

Samples: Underwriting Agreement (Garrison Capital Inc.)

Restriction on Sale of Securities. During a period of 30 60 days from the date of this Agreementthe Prospectus, the Company will not, without the prior written consent of the Placement AgentsRepresentative, (i) directly or indirectly, offer, pledge, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of any shares of preferred stock Common Stock or any securities convertible into or exercisable or exchangeable for preferred stock Common Stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (ii) enter into any swap or any other agreement or any transaction that transfers, in whole or in part, directly or indirectly, the economic consequence of ownership of preferred stockthe Common Stock, whether any such swap or transaction described in clause (i) or (ii) above is to be settled by delivery of preferred stock Common Stock or such other securities, in cash or otherwise.

Appears in 1 contract

Samples: Underwriting Agreement (WhiteHorse Finance, Inc.)

Restriction on Sale of Securities. During a period of 30 60 days from the date of this Agreementthe Prospectus, the Company will not, without the prior written consent of the Placement Agents, Oxxxxxxxxxx, (i) directly or indirectly, offer, pledge, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of any shares of preferred stock Common Stock or any securities convertible into or exercisable or exchangeable for preferred stock Common Stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (ii) enter into any swap or any other agreement or any transaction that transfers, in whole or in part, directly or indirectly, the economic consequence of ownership of preferred stockthe Common Stock, whether any such swap or transaction described in clause (i) or (ii) above is to be settled by delivery of preferred stock Common Stock or such other securities, in cash or otherwise.

Appears in 1 contract

Samples: Underwriting Agreement (Garrison Capital Inc.)

Restriction on Sale of Securities. During a the period of 30 days from the date of this AgreementAgreement through the Closing Time, the Company will not, without the prior written consent of the Placement Agents, Representatives, (i) directly or indirectly, offer, pledge, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of any shares of preferred stock or any securities convertible into or exercisable or exchangeable for preferred stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (ii) enter into any swap or any other agreement or any transaction that transfers, in whole or in part, directly or indirectly, the economic consequence of ownership of preferred stock, whether any such swap or transaction described in clause (i) or (ii) above is to be settled by delivery of preferred stock or such other securities, in cash or otherwise.

Appears in 1 contract

Samples: Underwriting Agreement (M&t Bank Corp)

Restriction on Sale of Securities. During Except as provided in Schedule B, during a period of 30 days from the date of this Agreement, the Company will not, without the prior written consent of the Placement Agents, , (i) directly or indirectly, offer, pledge, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of any shares of preferred stock or any securities convertible into or exercisable or exchangeable for preferred stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (ii) enter into any swap or any other agreement or any transaction that transfers, in whole or in part, directly or indirectly, the economic consequence of ownership of preferred stock, whether any such swap or transaction described in clause (i) or (ii) above is to be settled by delivery of preferred stock or such other securities, in cash or otherwise.

Appears in 1 contract

Samples: Placement Agency Agreement

Restriction on Sale of Securities. During a period of 30 90 days --------------------------------- from the date of this Agreementthe Prospectus, the Company Selling Stockholder will not, without the prior written consent of the Placement Agents, Underwriter, (i) directly or indirectly, offer, pledge, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of, directly or indirectly, any share of any shares of preferred stock Common Stock or any securities convertible into or exercisable or exchangeable for preferred stock Common Stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (ii) enter into any swap or any other agreement or any transaction that transfers, in whole or in part, directly or indirectly, the economic consequence of ownership of preferred stockthe Common Stock, whether any such swap or transaction described in clause (i) or (ii) above is to be settled by delivery of preferred stock Common Stock or such other securities, in cash or otherwise.

Appears in 1 contract

Samples: Purchase Agreement (Arch Coal Inc)

Restriction on Sale of Securities. During Except as disclosed on Schedule B, during a period of 30 days from the date of this Agreement, the Company will not, without the prior written consent of the Placement Agents, , (i) directly or indirectly, offer, pledge, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of any shares of preferred stock or any securities convertible into or exercisable or exchangeable for preferred stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (ii) enter into any swap or any other agreement or any transaction that transfers, in whole or in part, directly or indirectly, the economic consequence of ownership of preferred stock, whether any such swap or transaction described in clause (i) or (ii) above is to be settled by delivery of preferred stock or such other securities, in cash or otherwise.

Appears in 1 contract

Samples: Placement Agency Agreement

Restriction on Sale of Securities. During a period of 30 days from the date of this Agreement, the Company will not, without the prior written consent of the Placement Agents, Representatives, (i) directly or indirectly, offer, pledge, sell, contract to sell, sell any option or contract to purchase, purchase any 17 option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of any shares of preferred stock or any securities convertible into or exercisable or exchangeable for preferred stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (ii) enter into any swap or any other agreement or any transaction that transfers, in whole or in part, directly or indirectly, the economic consequence of ownership of preferred stock, whether any such swap or transaction described in clause (i) or (ii) above is to be settled by delivery of preferred stock or such other securities, in cash or otherwise.

Appears in 1 contract

Samples: Underwriting Agreement (United Bancorp Inc /Mi/)

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