Soliciting Dealer Group Sample Clauses
Soliciting Dealer Group. Sprott Global Resource Investments, Ltd. (the "Dealer Manager") has been appointed by the Offeror to act as the Offeror's dealer manager for the Offer and will form and manage a soliciting dealer group (the "Soliciting Dealer Group") consisting of the Dealer Manager and other members of the Financial Industry Regulatory Authority ("FINRA") to assist in the solicitation of GTU Units to be deposited under the Offer from holders of GTU Units. You are hereby invited to become a member of the Soliciting Dealer Group in the U.S. (each member being referred to herein as a "Member") in accordance with the terms set forth herein and on the terms and subject to the conditions set forth in Offering Documents. By agreeing to become a Member, you agree that you will use commercially reasonable efforts to contact holders of GTU Units and to assist the Offeror in soliciting the holders of GTU Units to tender to the Offer and to comply with all applicable U.S. legislation, regulations, rules, policies and orders of all applicable U.S. securities regulatory authorities and stock exchanges having jurisdiction, including rules promulgated by the OSC and the SEC governing communications in the context of business combinations. Members of the Soliciting Dealer Group may only solicit the tender of GTU Units under the Offer or otherwise communicate in respect of the Offer if they are, or are acting through a duly qualified U.S. affiliate that is, registered with the SEC and FINRA and in compliance with applicable state requirements. No Member of the Soliciting Dealer Group is authorized to act as an agent for the Offeror, Sprott Asset Management LP, Sprott Physical Gold Trust or the Dealer Manager, nor are the members to make any representations in connection with the Offer other than those contained in the Offering Documents.
Soliciting Dealer Group. 10.1 If applicable, the Letters of Acceptance and Transmittal will contain a box for the insertion of the name of a member of the Soliciting Dealer Group. Where Subject Shares deposited and registered in a single name are beneficially owned by more than one person, the relevant minimum and maximum amount shall be applied separately in respect of each beneficial owner. You may require any member of the Soliciting Dealer Group to furnish evidence satisfactory to You of such beneficial ownership before payment of such fee.
10.2 You will provide to the Dealer Manager, if retained, a list of all dealers and brokers, the names of which have been inserted in the Letters of Acceptance and Transmittal received by You and who have requested solicitation payment, and request confirmation from the Dealer Manager that all such names are members of the Soliciting Dealer Group.
10.3 Upon receipt of written confirmation from the Dealer Manager, You will provide us with a list of the dealers and brokers who comprise the Soliciting Dealer Group, along with information regarding the number of tendered Subject Shares solicited by each such dealer and broker pursuant to the Offer, and the amount to be paid to each.
10.4 If we take up and pay for the Subject Shares deposited pursuant to the Offer, then You are authorized and directed, as soon as practicable following receipt of documentation from all members of the Soliciting Dealer Group claiming solicitation payment and following our approval and the receipt of sufficient funds from us, to make direct payment to each member of the Soliciting Dealer Group.
Soliciting Dealer Group. The Letter of Transmittal contains a box for the insertion of the name of a member of the Soliciting Dealer Group. If such a name appears on a Letter of Transmittal which is a part of a proper deposit of Subject Shares, and if we take up and pay for the Subject Shares deposited pursuant to the Offer, then you are authorized and directed, as soon as possible following the date of payment for Subject Shares taken up under the Offer, to make direct payment to the member concerned of an amount for each deposit equal to $0.02 for each such Subject Share, provided that the solicitation fee in respect of any single beneficial owner of Subject Common Shares shall not be less than $100 or more than $1,500 and shall be subject to a minimum of 5,000 Subject Shares being deposited. Where Subject Shares deposited and registered in a single name are beneficially owned by more than one person, the minimum and maximum amounts shall be applied separately in respect of each beneficial owner. The solicitation fee payable in respect of any Subject Shares tendered or deposited under the Offer not identified with a particular member of the Soliciting Dealer Group shall be payable to CIBC World Markets Inc. as dealer manager. You may require any member of the Soliciting Dealer Group to furnish evidence satisfactory to you of such beneficial ownership before payment of such fee.
Soliciting Dealer Group. ▇▇▇▇▇ may enter into appropriate sub-dealer arrangements with members of the Investment Dealers Association of Canada and members of recognized stock exchanges in Canada (the “Soliciting Dealer Group”) to assist ▇▇▇▇▇ in obtaining the exercise of the Rights. If the Soliciting Dealer Group is formed, ▇▇▇▇▇ shall manage the Soliciting Dealer Group as and to the extent customary in the securities industry in Canada.
Soliciting Dealer Group. GD Securities may enter into appropriate sub-dealer arrangements with members of the National Association of Securities Dealers, Inc. (the “Soliciting Dealer Group”) to assist GD Securities in obtaining the exercise of the Rights. If the Soliciting Dealer Group is formed, GD Securities shall manage the Soliciting Dealer Group as and to the extent customary in the securities industry in the United States.