Section 13 Filings Sample Clauses
The Section 13 Filings clause requires parties, typically shareholders or investors, to comply with regulatory reporting obligations under Section 13 of the Securities Exchange Act of 1934. This means that any person or group acquiring a significant ownership stake in a publicly traded company must file specific forms, such as Schedule 13D or 13G, with the Securities and Exchange Commission to disclose their holdings and intentions. By mandating these disclosures, the clause ensures transparency in significant share acquisitions, helping to inform the market and prevent undisclosed attempts to influence or control a company.
Section 13 Filings. For purposes of Section 13(f) of the Exchange Act, and Rule 13f-1 thereunder, the Sub-Adviser shall be deemed to exercise investment discretion over any “Section 13(f) securities” (as defined in Rule 13f-1(c) under the Exchange Act) held or previously held in the Allocated Portion, and shall include information regarding such securities in its reports filed on Form 13F. For purposes of Section 13(d) and 13(g) of the Exchange Act, the Sub-Adviser shall be deemed the “beneficial owner” of any equity security held or previously held in the Allocated Portion, and shall include information regarding such securities, as required, in its “beneficial ownership reports” filed on Schedules 13D or 13G. For the avoidance of doubt, nothing contained in this Section 12(j) shall be understood as a representation by the Sub-Adviser that it is the owner (or beneficial owner) of these securities for purposes other than those referenced herein.
Section 13 Filings. The Sub-Adviser will be responsible for the preparation and filing of Schedule 13G, if applicable, and Form 13F with respect to the portfolio holdings held or previously held in the Allocated Portion.
Section 13 Filings. For purposes of Section 13(f) of the Exchange Act and to the extent applicable, and Rule 13f-1 thereunder, the Sub-Adviser shall be deemed to exercise investment discretion over any “Section 13(f) securities” (as defined in Rule 13f-1(c) under the Exchange Act) held or previously held in the Allocated Portion, and shall include information regarding such securities in its reports filed on Form 13F.
Section 13 Filings. The Adviser will be responsible for filing any required reports on its behalf with the Commission pursuant to Section 13(f) of the Securities Exchange Act of 1934 (the “1934 Act”) and the rules and regulations thereunder.
Section 13 Filings. For purposes of Section 13(f) of the Exchange Act, and Rule 13f-1 thereunder, the Sub-Adviser and/or one or more persons controlling the Sub-Adviser (together with the Sub-Adviser, the “Reporting Person”) shall be deemed to exercise investment discretion over any “Section 13(f) securities” (as defined in Rule 13f-1(c) under the Exchange Act) held or previously held in the Allocated Portion, and shall include information regarding such securities in its reports filed on Form 13F. For purposes of Section 13(d) and 13(g) of the Exchange Act, the Reporting Person shall be deemed the “beneficial owner” of any equity security held or previously held in the Allocated Portion, and shall include information regarding such securities, as required, in its “beneficial ownership reports” filed on Schedules 13D or 13G. For the avoidance of doubt, nothing contained in this Section 12(j) shall be understood as a representation by the Reporting Person that it is the owner (or beneficial owner) of these securities for purposes other than those referenced herein.
Section 13 Filings. In the event that Piton or any other Stockholder files any schedule, form or report under Section 13 of the Exchange Act with the SEC indicating that it is the beneficial owner (as the term “beneficial ownership” is defined by Rule 13d-3 promulgated under the Exchange Act) of more than five percent of the outstanding Common Stock, Piton and the other Stockholders agree to cooperate with the Company upon the Company’s reasonable request for information from Piton, the Stockholders and their respective Affiliates and Associates regarding the beneficial ownership structure and interest percentage in Common Stock held by Piton, the Stockholders and any of their respective Affiliates and Associates.
Section 13 Filings. To the extent applicable, for purposes of Section 13(f) of the Exchange Act, and Rule 13f-1 thereunder, the Sub-Adviser shall be deemed to exercise investment discretion over any “Section 13(f) securities” (as defined in Rule 13f-1(c) under the Exchange Act) held or previously held in the Allocated Portion, and shall include information regarding such securities in its reports filed on Form 13F. To the extent applicable, for purposes of Section 13(d) and 13(g) of the Exchange Act, the Sub-Adviser shall be deemed the “beneficial owner” of any equity security held or previously held in the Allocated Portion, and shall include information regarding such securities, as required, in its “beneficial ownership reports” filed on Schedules 13D or 13G. For the avoidance of doubt, nothing contained in this Section 12(j) shall be understood as a representation by the Sub-Adviser that it is the owner (or beneficial owner) of these securities for purposes other than those referenced herein and this section shall only apply in the event the Sub-Adviser trades “Section 13(f) securities” or any equity security subject to reporting on Schedule 13D or 13G or subject to Section 16 of the Exchange Act.