Common use of Restriction on Sale of Securities Clause in Contracts

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx Xxxxx, (A) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights or warrant to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 20 contracts

Samples: Underwriting Agreement (Nuveen Build America Bond Fund), Underwriting Agreement (Nuveen Build America Bond Fund), Purchase Agreement (ING Global Advantage & Premium Opportunity Fund)

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Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx Xxxxx, (A) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 17 contracts

Samples: Purchase Agreement (Cohen & Steers Global Income Builder, Inc), Management Agreement (Cohen & Steers Closed-End Opportunity Fund, Inc.), Purchase Agreement (Neuberger Berman Intermediate Municipal Fund Inc)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund Trust will not, without the prior written consent of Xxxxxxx Xxxxx, (A) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 14 contracts

Samples: Purchase Agreement (BlackRock Health Sciences Trust), Purchase Agreement (BlackRock Preferred & Equity Advantage Trust), Form of Purchase Agreement (Blackrock Strategic Dividend Achievers Trust)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx Xxxxx, (Ai) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant 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 Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares Shares; or file any registration statement under the 1933 Act with respect to any of the foregoing or (Bii) 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 the Common Shares, whether any such swap or transaction described in clause (Ai) or (Bii) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1A) the Securities to be sold hereunder or (2B) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 5 contracts

Samples: Underwriting Agreement (AllianzGI Diversified Income & Convertible Fund), Underwriting Agreement (Babson Capital Global Short Duration High Yield Fund), Underwriting Agreement (Salient Midstream & MLP Fund)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx Xxxxx, (A) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for the avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 4 contracts

Samples: Purchase Agreement (PIMCO Floating Rate Strategy Fund), Purchase Agreement (PIMCO Global StocksPLUS & Income Fund), Transfer Agency Services Agreement (Pimco Floating Rate Income Fund)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund Trust will not, without the prior written consent of Xxxxxxx Xxxxx, (A) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights or warrant to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 4 contracts

Samples: Purchase Agreement (Clough Global Allocation Fund), Reaves Utility Income Fund, Clough Global Opportunities Fund

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx XxxxxMerrill Lynch, (A) directly or indirectlydirxxxxx xr xxxxrectly, offer, pledge, sell, contract to sell, sell any option, rights or warrant to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 2 contracts

Samples: Dreman Claymore Dividend & Income Fund, First Trust/Fidac Mortgage Income Fund

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx Xxxxx, (A) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights or warrant to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder (including the WAM Securities) or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 2 contracts

Samples: Western Asset Claymore Us Treasury Inflation Pro Sec Fund 2, Western Asset Claymore Us Treasury Inflation Pro Secu Fund

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund Trust will not, without the prior written consent of Xxxxxxx Xxxxx, (A) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 2 contracts

Samples: Underwriting Agreement (BlackRock Resources & Commodities Strategy Trust), Management Agreement (BlackRock Defined Opportunity Credit Trust)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx XxxxxMxxxxxx Lxxxx, (A) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights or warrant 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 Common Shares Stock or any securities convertible into or exercisable or exchangeable for Common Shares Stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common SharesStock, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares Stock or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) any shares of Common Shares Stock issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 2 contracts

Samples: SunAmerica Focused Alpha Growth Fund, Inc., SunAmerica Focused Alpha Large-Cap Fund, Inc.

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx Xxxxxthe Dealers, (Ai) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant 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 Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares Shares; or file any registration statement under the 1933 Act with respect to any of the foregoing or (Bii) 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 the Common Shares, whether any such swap or transaction described in clause (Ai) or (Bii) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1A) the Securities to be sold hereunder or (2B) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 2 contracts

Samples: Initial Offering Period Agreement (BNY Mellon Alcentra Global Multi-Strategy Credit Fund, Inc.), Guggenheim Energy & Income Fund

Restriction on Sale of Securities. During a period of 180 days --------------------------------- from the date of the ProspectusProspectuses, the Fund Company will not, without the prior written consent of Xxxxxxx Xxxxxthe Global Coordinator, (Ai) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant 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 share of Common Shares Stock or any securities convertible into or exercisable or exchangeable for Common Shares Stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (Bii) 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 the Common SharesStock, whether any such swap or transaction described in clause (Ai) or (Bii) above is to be settled by delivery of Common Shares Stock or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in under the open market pursuant to any dividend reinvestment planInternational Purchase Agreement.

Appears in 2 contracts

Samples: International Purchase Agreement (Advanstar Inc), Purchase Agreement (Advanstar Inc)

Restriction on Sale of Securities. During a period of 180 90 days from the date of the ProspectusProspectuses, the Fund Company will not, without the prior written consent of Xxxxxxx Xxxxx, (Ai) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant 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 share of Common Shares Stock or any securities convertible into or exercisable or exchangeable for Common Shares Stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (Bii) 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 the Common SharesStock, whether any such swap or transaction described in clause (Ai) or (Bii) above is to be settled by delivery of Common Shares Stock or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1A) the Securities to be sold hereunder or under the International Purchase Agreement, (2B) the Series B Preferred Shares and the 1997 WAT Warrant and (C) any shares of Common Shares Stock issued or, for avoidance by the Company upon the exercise of doubt, purchased an option or warrant or the conversion of a security outstanding on the date hereof or to be issued at the Closing of the offerings as described in the open market pursuant Prospectuses and referred to any dividend reinvestment planin the Prospectuses.

Appears in 2 contracts

Samples: Purchase Agreement (Westfield America Inc), Westfield America Inc

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx XxxxxMerrill Lynch, (A) directly or indirectly, offer, pledge, sellxxxx, contract xoxxxxxt to sell, sell any option, rights or warrant to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Gabelli Global Utility & Income Trust

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx Xxxxx, (A) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights or warrant to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder hereunder, or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Purchase Agreement (Delaware Enhanced Global Dividend & Income Fund)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx Xxxxx, Xxxxx (A) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights or warrant to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Underwriting Agreement (Nuveen Intermediate Duration Quality Municipal Term Fund)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx XxxxxMxxxxxx Lxxxx, (A) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights or warrant to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: DWS Rreef World (DWS RREEF World Real Estate & Tactical Strategies Fund, Inc.)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx Xxxxx, Xxxxx (Ai) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant 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 Common Shares Stock or any securities convertible into or exercisable or exchangeable for Common Shares Stock; or file any registration statement under the 1933 Act with respect to any of the foregoing or (Bii) 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 the Common SharesStock, whether any such swap or transaction described in clause (Ai) or (Bii) above is to be settled by delivery of Common Shares Stock or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1A) the Securities to be sold hereunder or (2B) Common Shares Stock issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Underwriting Agreement (Brookfield Global Listed Infrastructure Income Fund Inc.)

Restriction on Sale of Securities. During a period of 180 [90] days from the date of the Prospectus, the Fund Company will not, without the prior written consent of Xxxxxxx Xxxxx, (Ai) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant 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 share of Common Shares Stock or any securities convertible into or exercisable or exchangeable for Common Shares Stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (Bii) 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 the Common SharesStock, whether any such swap or transaction described in clause (Ai) or (Bii) above is to be settled by delivery of Common Shares Stock or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1A) the Securities to be sold hereunder or (2B) any shares of Common Shares Stock issued or, for avoidance by the Company upon the exercise of doubt, purchased any option outstanding on the date hereof and referred to in the open market pursuant to any dividend reinvestment planProspectus.

Appears in 1 contract

Samples: Purchase Agreement (Vectren Corp)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectushereof, the Fund will not, without the prior written consent of Xxxxxxx Xxxxx, (A) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights or warrant to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: ING International High Dividend Equity Income Fund

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund Trust will not, without the prior written consent of Xxxxxxx XxxxxMerrill Lynch, (A) directly or indirectly, offer, pledge, sellselx, contract to xxxxrxxx xo sell, sell any option, rights option or warrant contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Purchase Agreement (Calamos Convertible Opportunities & Income Fund)

Restriction on Sale of Securities. During a period of 180 days --------------------------------- from the date of the ProspectusProspectuses, the Fund such Selling Stockholder will not, without the prior written consent of Xxxxxxx Xxxxx, (A) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant 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 Common Shares Stock or any securities convertible into or exercisable or exchangeable for Common Shares Stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common SharesStock, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares Stock or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in and under the open market pursuant to any dividend reinvestment planInternational Purchase Agreement.

Appears in 1 contract

Samples: Purchase Agreement (Tuesday Morning Corp/De)

Restriction on Sale of Securities. During a period of 180 90 days from the date of the ProspectusProspectuses, the Fund Company will not, without the prior written consent of Xxxxxxx Xxxxxthe Global Coordinator, (Ai) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant 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 share of Common Shares Stock or any securities convertible into or exercisable or exchangeable for Common Shares Stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (Bii) 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 the Common SharesStock, whether any such swap or transaction described in clause (Ai) or (Bii) above is to be settled by delivery of Common Shares Stock or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1A) the Securities to be sold hereunder or under the International Purchase Agreement, or (2B) any shares of Common Shares Stock issued or, for avoidance or options to purchase Common Stock granted pursuant to existing employee benefit plans of doubt, purchased the Company referred to in the open market pursuant to any dividend reinvestment planProspectuses.

Appears in 1 contract

Samples: Purchase Agreement (99 Cents Only Store)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx XxxxxMerrill Lynch, (A) directly or indirectlyxx xxxxrxxxxx, offer, pledge, sell, contract to sell, sell any option, rights option or warrant contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Evergreen Managed Income Fund

Restriction on Sale of Securities. During a period of 180 days from the --------------------------------- date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx Xxxxx, (A) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights or warrant to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Purchase Agreement (Nuveen Equity Premium & Growth Fund)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx XxxxxMerrill Lynch, (A) directly or indirectlyindirexxxx, offerofxxx, pledge, sell, contract to sell, sell any option, rights option or warrant contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Evergreen Income Advantage Fund

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund Trust will not, without the prior written consent of Xxxxxxx Xxxxxthe Dealers, (Ai) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant 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 Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares Shares; or file any registration statement under the 1933 Act with respect to any of the foregoing or (Bii) 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 the Common Shares, whether any such swap or transaction described in clause (Ai) or (Bii) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1A) the Securities to be sold hereunder or (2B) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Transfer Agency Agreement (BlackRock Multi-Sector Opportunities Trust)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx XxxxxMerrill Lxxxx, (A) directly xxrectly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Purchase Agreement (Neuberger Berman California Intermediate Municipal Fund Inc)

Restriction on Sale of Securities. During a period of 180 [•] days from the date of the Prospectus, the Fund Trust will not, without the prior written consent of Xxxxxxx Xxxxx, (Ai) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant 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 Common Shares Stock or any securities convertible into or exercisable or exchangeable for Common Shares Stock; or file any registration statement under the 1933 Act with respect to any of the foregoing or (Bii) 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 the Common SharesStock, whether any such swap or transaction described in clause (Ai) or (Bii) above is to be settled by delivery of Common Shares Stock or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1A) the Securities to be sold hereunder or (2B) Common Shares Stock issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Underwriting Agreement (BlackRock Multi-Sector Income Trust)

Restriction on Sale of Securities. During a period of 180 [•] days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx Xxxxx, (Ai) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant 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 Common Shares Stock or any securities convertible into or exercisable or exchangeable for Common Shares Stock; or file any registration statement under the 1933 Act with respect to any of the foregoing or (Bii) 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 the Common SharesStock, whether any such swap or transaction described in clause (Ai) or (Bii) above is to be settled by delivery of Common Shares Stock or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1A) the Securities to be sold hereunder or (2B) Common Shares Stock issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Underwriting Agreement (Clearbridge American Energy MLP Fund Inc.)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx XxxxxMxxxxxx Lxxxx, (Ai) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant 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 Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares Shares; or file any registration statement under the 1933 Act with respect to any of the foregoing or (Bii) 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 the Common Shares, whether any such swap or transaction described in clause (Ai) or (Bii) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1A) the Securities to be sold hereunder or (2B) Common Shares Stock issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Underwriting Agreement (MainStay DefinedTerm Municipal Opportunities Fund)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx XxxxxMerrill Lynch, (AX) directly xixxxxxy or indirectly, offer, pledge, sell, contract to sell, sell any option, rights or warrant to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Purchase Agreement (First Trust/Fiduciary Asset Management Covered Call Fund)

Restriction on Sale of Securities. During a period of 180 90 days from the date of the Prospectus, the Fund such Selling Shareholder will not, without the prior written consent of Xxxxxxx XxxxxMerrill Lynch, (Ai) directly or indirectly, offer, pledgexxedge, sell, contract to sell, sell any option, rights option or warrant 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 Common Shares Stock or any securities convertible into or exercisable or exchangeable for Common Shares Stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (Bii) 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 the Common SharesStock, whether any such swap or transaction described in clause (Ai) or (Bii) above is to be settled by delivery of Common Shares Stock or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder hereunder, nor shall the foregoing apply to shares of Common Stock issued or (2) options to purchase Common Shares issued or, for avoidance of doubt, purchased Stock granted pursuant to the Company's employee benefit plans described in the open market pursuant to any dividend reinvestment planProspectus.

Appears in 1 contract

Samples: Purchase Agreement (Play by Play Toys & Novelties Inc)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund Trust will not, without the prior written consent of Xxxxxxx XxxxxMerrill Lynch, (A) directly or indirectly, offer, pledge, sell, contract to xxxxxaxx xx sell, sell any option, rights option or warrant contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Blackrock California Municipal 2018 Term Trust

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx XxxxxMerrill Lynch, (A) directly or indirectly, offer, pledge, sellselx, contract to xxxxrxxx xo sell, sell any option, rights option or warrant contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Cohen & Steers Select Utility Fund Inc

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx XxxxxMerrill Lynxx, (AX) directly xxxxxtly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights or warrant to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Purchase Agreement (First Trust Four Corners Senior Floating Rate Income Fund Ii)

Restriction on Sale of Securities. During a period of 180 [ ] days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx Xxxxx, Xxxxx and [other Represenatives] (Ai) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant 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 Common Shares Stock or any securities convertible into or exercisable or exchangeable for Common Shares Stock; or file any registration statement under the 1933 Act with respect to any of the foregoing or (Bii) 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 the Common SharesStock, whether any such swap or transaction described in clause (Ai) or (Bii) above is to be settled by delivery of Common Shares Stock or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1A) the Securities to be sold hereunder or (2B) Common Shares Stock issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Underwriting Agreement (Ares Multi-Strategy Credit Fund, Inc.)

Restriction on Sale of Securities. During a period of 180 75 days from the date of the Prospectus, the Fund Company will not, without the prior written consent of Xxxxxxx XxxxxMerrill Lynch, (Ai) directly or indirectly, offer, pledgepledgx, sellxxxx, contract xxxxract to sell, sell any option, rights option or warrant 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 share of Common Shares Stock or any securities convertible into or exercisable or exchangeable for Common Shares Stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (Bii) 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 the Common SharesStock, whether any such swap or transaction described in clause (Ai) or (Bii) above is to be settled by delivery of Common Shares Stock or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1A) the Securities to be sold hereunder hereunder, or (2B) any shares of Common Shares Stock issued or, for avoidance or options to purchase Common Stock granted pursuant to existing employee benefit plans of doubt, purchased the Company referred to in the open market pursuant to any dividend reinvestment planProspectus.

Appears in 1 contract

Samples: Purchase Agreement (Northwestern Corp)

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Restriction on Sale of Securities. During a period of 180 days eighteen months from the date of the Prospectus, the Fund Company will not, without the prior written consent of Xxxxxxx XxxxxCardinal, (Ai) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant 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 Common Shares Stock or any securities convertible into or exercisable or exchangeable for Common Shares Stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (Bii) 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 the Common SharesStock, whether any such swap or transaction described in clause (Ai) or (Bii) above is to be settled by delivery of Common Shares Stock or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1A) the Securities Securities, the Underwriters Warrants and Underwriters Units to be sold hereunder and (B) any shares of Common Stock issued by the Company upon the exercise of an option or (2) Common Shares issued or, for avoidance warrant or the conversion of doubt, purchased a security outstanding on the date hereof and referred to in the open market pursuant to any dividend reinvestment planProspectus.

Appears in 1 contract

Samples: U S Laboratories Inc

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund Trust will not, without the prior written consent of Xxxxxxx XxxxxMerrill Lynch, (A) directly or indirectly, offer, pledge, sellsexx, contract xxxtxxxx to sell, sell any option, rights option or warrant contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Blackrock New York Municipal 2018 Term Trust

Restriction on Sale of Securities. During a period of 180 days --------------------------------- from the date of the Prospectus, the Fund such Selling Shareholder will not, without the prior written consent of Xxxxxxx Xxxxx, (Ai) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant 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 Common Shares Stock or any securities convertible into or exercisable or exchangeable for Common Shares Stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (Bii) 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 the Common SharesStock, whether any such swap or transaction described in clause (Ai) or (Bii) above is to be settled by delivery of Common Shares Stock or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment planhereunder.

Appears in 1 contract

Samples: International Purchase Agreement (Knoll Inc)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx Xxxxx, Mxxxxxx Lxxxx (A) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights or warrant to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of shares of Common Shares Stock or any securities convertible into or exercisable or exchangeable for shares of Common Shares Stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 shares of the Common SharesStock, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of shares of Common Shares Stock or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) shares of Common Shares Stock issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Underwriting Agreement (Western Asset High Yield Defined Opportunity Fund Inc.)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx XxxxxMerrill Lynch, (AX) directly or xxxxcxxx xr indirectly, offer, pledge, sell, contract to sell, sell any option, rights or warrant to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: First Trust/Aberdeen Global Opportunity Income Fund

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund Selling Shareholder will not, without the prior written consent of Xxxxxxx XxxxxXxxxx Xxxxxxxx, (A) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant 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 Common Shares Stock or any securities convertible into or exercisable or exchangeable for Common Shares Stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 any shares of the Common SharesStock, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares Stock or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment planhereunder.

Appears in 1 contract

Samples: Form of Purchase Agreement (Encore Bancshares Inc)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx XxxxxMerrill Lynch, (A) directly or xxxxxxlx xx indirectly, offer, pledge, sell, contract to sell, sell any option, rights or warrant to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: First Trust/Aberdeen Emerging Opportunity Fund

Restriction on Sale of Securities. During a period of 180 90 days from the date of the Prospectus, the Fund Company will not, without the prior written consent of Xxxxxxx XxxxxMerrill Lynch, (Ai) directly or indirectlydirecxxx xx ixxxxxctly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant 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 share of Common Shares Stock or any securities convertible into or exercisable or exchangeable for Common Shares Stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (Bii) 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 the Common SharesStock, whether any such swap or transaction described in clause (Ai) or (Bii) above is to be settled by delivery of Common Shares Stock or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1A) the Securities to be sold hereunder and (B) any shares of Common Stock issued or (2) options to purchase Common Shares issued or, for avoidance Stock granted pursuant to existing employee benefit plans of doubt, purchased the Company referred to in the open market pursuant to any dividend reinvestment planProspectus.

Appears in 1 contract

Samples: Purchase Agreement (Play by Play Toys & Novelties Inc)

Restriction on Sale of Securities. During a period of 180 90 days from the date of the Prospectus, the Fund such Selling Stockholder will not, without the prior written consent of Xxxxxxx XxxxxMerrxxx Xxxcx, (Ax) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant 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 Common Shares Stock or any securities convertible into or exercisable or exchangeable for Common Shares Stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (Bii) 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 the Common SharesStock, whether any such swap or transaction described in clause (Ai) or (Bii) above is to be settled by delivery of Common Shares Stock or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the exercise of currently outstanding warrants covering such Securities or the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment planhereunder.

Appears in 1 contract

Samples: Purchase Agreement (Bally Total Fitness Holding Corp)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund Trust will not, without the prior written consent of Xxxxxxx Xxxxx, (A) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights or warrant to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder (including the WAM Securities) or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Western Asset Premier Bond Fund

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx XxxxxMerrill Lynch, (A) directly or indirectly, offer, pledge, sellxxxx, contract xoxxxxxt to sell, sell any option, rights option or warrant contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Form of Agreement (Gabelli Dividend & Income Trust)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund and the Manager will not, without the prior written consent of Xxxxxxx XxxxxMerrxxx Xxxcx, (AX) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant 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 share of Common Shares Stock or any securities convertible into or exercisable or exchangeable for Common Shares Stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common SharesStock, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares Stock or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) any shares of Common Shares Stock issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Purchase Agreement (Chartwell Dividend & Income Fund Inc)

Restriction on Sale of Securities. During a period of 180 90 days from the date of the ProspectusProspectuses, the Fund Company will not, without the prior written consent of Xxxxxxx Xxxxxthe Global Coordinator, (Ai) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant 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 share of Common Shares Stock or any securities convertible into or exercisable or exchangeable for Common Shares Stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (Bii) 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 the Common SharesStock, whether any such swap or transaction described in clause (Ai) or (Bii) above is to be settled by delivery of Common Shares Stock or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1A) the Securities to be sold hereunder or under the U.S. Purchase Agreement, or (2B) any shares of Common Shares Stock issued or, for avoidance or options to purchase Common Stock granted pursuant to existing employee benefit plans of doubt, purchased the Company referred to in the open market pursuant to any dividend reinvestment planProspectuses.

Appears in 1 contract

Samples: International Purchase Agreement (99 Cents Only Store)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx XxxxxMerxxxx Xxnxx, (A) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights or warrant to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Purchase Agreement (Macquarie/First Trust Global Infrastr/Util Div & Inc Fund)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund Company will not, without the prior written consent of Xxxxxxx XxxxxRequired Notice and Consent, (Ai) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant 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 Common Shares Stock or any securities convertible into or exercisable or exchangeable for Common Shares Stock or publicly file any registration statement under the 1933 Act with respect to any of the foregoing or (Bii) 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 the Common SharesStock, whether any such swap or transaction described in clause (Ai) or (Bii) above is to be settled by delivery of Common Shares Stock or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1A) the Securities to be sold hereunder or (2B) any shares of Common Shares Stock issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment planplan referred to in the Registration Statement, the General Disclosure Package and the Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Bain Capital Specialty Finance, Inc.)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx Xxxxx, (A) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder (including the AEW Securities) or (2) Common Shares issued or, for avoidance of doubt, or distributed (whether issued by the Fund or purchased in on the open market market) pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Aew Real Estate Income Fund

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx Xxxxx, (A) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights or warrant to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Agreement (Alpine Global Premier Properties Fund)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund Trust will not, without the prior written consent of Xxxxxxx XxxxxMxxxxxx Lxxxx, (A) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights or warrant to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Underwriting Agreement (Guggenheim Build America Bonds Managed Duration Trust)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund Trust will not, without the prior written consent of Xxxxxxx Xxxxx, (A) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights or warrant to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, or purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Purchase Agreement (Pioneer Tax Advantaged Balanced Trust)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx XxxxxMerrill Lynch, (A) directly or indirectlyxxxxxxxy xx xndirectly, offer, pledge, sell, contract to sell, sell any option, rights or warrant to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Purchase Agreement (First Trust Global Credit Strategies Fund)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx Xxxxx, (A) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights or warrant to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, or purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Pioneer Floating Rate Trust

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx Xxxxx, (A) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights or warrant to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with 12 respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Purchase Agreement (Advent/Claymore Enhanced Growth & Income Fund)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund Company will not, without the prior written consent of Xxxxxxx Xxxxxat least three of the Representatives, (Ai) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant 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 Common Shares Stock or any securities convertible into or exercisable or exchangeable for Common Shares Stock or file any registration statement under the 1933 Act with respect to any of the foregoing or (Bii) 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 the Common SharesStock, whether any such swap or transaction described in clause (Ai) or (Bii) above is to be settled by delivery of Common Shares Stock or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1A) the Securities to be sold hereunder or (2B) any shares of Common Shares Stock issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment planplan referred to in the Registration Statement, the General Disclosure Package and the Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (TCG Bdc, Inc.)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund Company will not, without the prior written consent of Xxxxxxx XxxxxMerrxxx Xxxcx, (Ax) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights option or warrant 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 Common Shares Share or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (Bii) 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 the Common Shares, whether any such swap or transaction described in clause (Ai) or (Bii) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1A) the Securities to be sold hereunder hereunder, (B) the - Common Shares to be issued by the Company to effect the Reorganization or (2C) Common Shares issued or, for avoidance of doubt, purchased any options granted to employees or directors pursuant to the Stock Option Plan referred to in the open market pursuant to any dividend reinvestment planProspectus.

Appears in 1 contract

Samples: Purchase Agreement (Ritchie Bros Auctioneers Inc)

Restriction on Sale of Securities. During a period of 180 days from the date of the Prospectus, the Fund will not, without the prior written consent of Xxxxxxx XxxxxMxxxxxx Lxxxx, (A) directly or indirectly, offer, pledge, sell, contract to sell, sell any option, rights or warrant to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase or otherwise transfer or dispose of Common Shares or any securities convertible into or exercisable or exchangeable for Common Shares or file any registration statement under the 1933 Act with respect to any of the foregoing or (B) 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 the Common Shares, whether any such swap or transaction described in clause (A) or (B) above is to be settled by delivery of Common Shares or such other securities, in cash or otherwise. The foregoing sentence shall not apply to (1) the Securities to be sold hereunder or (2) Common Shares issued or, for avoidance of doubt, purchased in the open market pursuant to any dividend reinvestment plan.

Appears in 1 contract

Samples: Purchase Agreement (Gabelli Global Deal Fund)

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