Aquila Entity definition

Aquila Entity or "Aquila Entities" shall mean Aquila Management Corporation, Aquila Investment Management LLC (a registered investment adviser) and Aquila Distributors, Inc. (a registered broker-dealer).
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Aquila Entity or “Aquila Entities” shall mean Aquila Management Corporation (the sponsor of the Aquila Funds), Aquila Investment Management LLC (a wholly-owned subsidiary of the sponsor, a registered investment adviser, and adviser to the Fund) and Aquila Distributors, Inc. (an affiliate of both of the foregoing, a registered broker-dealer, and the principal underwriter for the Fund).
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Aquila Entity or “Aquila Entities” shall mean Aquila Management Corporation (or AMC), the sponsor of the Aquila Funds; Aquila Investment Management LLC ( or AIM), a wholly-owned subsidiary of AMC, a registered investment adviser, and the adviser to the Aquila Funds; and Aquila Distributors, Inc. (or ADI), an affiliate of both of the foregoing, a registered broker-dealer, and the principal underwriter for the Aquila Funds.
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Examples of Aquila Entity in a sentence

  • As an officer, trustee, director, LLC Manager, Control Person or employee of the Fund or an Aquila Entity, you are subject to all applicable provisions of this Code.

  • Prior to commencement of employment with any Aquila Entity and annually thereafter, each Advisory Person shall provide the CCO with a written list of all positions held by the Advisory Person with any External Company.

  • Advisory Persons may not seek or accept from, or offer to give or give to, any person that does business with any Aquila Entity or the Fund any item of material value or preferential treatment that is or appears to be connected with an Aquila Entity or Aquila Fund directing business to that person or receiving business from that person.

  • However, Access Persons need not make separate reports under this Section VII, to the extent the information in such reports would duplicate information required to be reported to any Aquila Entity pursuant to the Code of Ethics of the Aquila Entity.

  • In addition, service on the board of directors or board of trustees of any company other than an Aquila Fund or Aquila Entity ("External Company") may present conflicts between the duties owed by the Advisory Person to that company and to the Fund and the Aquila Entities.

  • All officers, directors, trustees, LLC Managers, Control Persons or employees of the Fund or of any Aquila Entity shall promptly report any actual or suspected violations of this Code to the CCO.

  • No officer, director, trustee, LLC Manager, Control Person or employee of the Fund or of any Aquila Entity shall purchase or redeem shares of the Fund in violation of the policies and restrictions set forth in the Fund's prospectus, including, but not limited to, the restrictions limiting the frequency of transfers into and out of the Fund that are designed to prevent so-called "market timing" and protect the interests of long-term investors in the Fund.

  • Finally, I confirm that I have no access to or knowledge of current recommendations or investment decisions relating to this security that may be being made or considered for any Aquila Entity by an investment adviser not subject to the Aquila Code of Ethics.

  • Market Timing No officer, director, trustee, LLC Manager, Control Person or employee of the Fund or of any Aquila Entity shall purchase or redeem shares of the Fund in violation of the policies and restrictions set forth in the Fund's prospectus, including, but not limited to, the restrictions limiting the frequency of transfers into and out of the Fund that are designed to prevent so-called "market timing" and protect the interests of long-term investors in the Fund.

  • This prohibition covers transactions for the Aquila Funds or other Aquila clients made in the course of a person’s employment or association with an Aquila Entity, as well as Personal Trading activities.

Related to Aquila Entity

  • Company Subsidiary means any Subsidiary of the Company.

  • Business Entity means a natural or legal person, business corporation, professional services corporation, limited liability company, partnership, limited partnership, business trust, association or any other legal commercial entity organized under the laws of this State or of any other state or foreign jurisdiction;

  • Subject Company shall have the meaning set forth in Section 6.10(a).

  • Parent means a "parent corporation," whether now or hereafter existing, as defined in Section 424(e) of the Code.

  • JV Entity means any joint venture of the Borrower or any Restricted Subsidiary that is not a Subsidiary.

  • Parent Subsidiary means any Subsidiary of Parent.

  • Group Member Agreement means the partnership agreement of any Group Member, other than the Partnership, that is a limited or general partnership, the limited liability company agreement of any Group Member that is a limited liability company, the certificate of incorporation and bylaws or similar organizational documents of any Group Member that is a corporation, the joint venture agreement or similar governing document of any Group Member that is a joint venture and the governing or organizational or similar documents of any other Group Member that is a Person other than a limited or general partnership, limited liability company, corporation or joint venture, as such may be amended, supplemented or restated from time to time.

  • Acquired Company means any business, corporation or other entity acquired by the Company or any Subsidiary.

  • Seller Parent has the meaning set forth in the Preamble.

  • CBI means Central Bureau of Investigation

  • Target Company means each of the Company and its direct and indirect Subsidiaries.

  • Restricted Entity means any "employee benefit plan" as defined in and subject to ERISA, any "plan" as defined in and subject to Section 4975 of the Code, or any entity any portion or all of the assets of which are deemed pursuant to United States Department of Labor Regulation Section 2510.3-101 or otherwise pursuant to ERISA or the Code to be, for any purpose of ERISA or Section 4975 of the Code, assets of any such "employee benefit plan" or "plan" that invests in such entity.

  • Acquired Entities means the Company and each of its Subsidiaries, collectively.

  • Company Subsidiaries means the Subsidiaries of the Company.

  • Partnership Subsidiary means Host LP and any partnership, limited liability company, or other entity treated as a partnership for federal income tax purposes or disregarded as a separate entity for federal income tax purposes in which either Host REIT or Host LP owns (or owned on or after January 1, 1999) an interest, either directly or through one or more other partnerships, limited liability companies or other entities treated as a partnership for federal income tax purposes or disregarded as a separate entity for federal income tax purposes (whether or not Host REIT or Host LP has a controlling interest in, or otherwise has the ability to control or direct the operation of, such entity). Notwithstanding the foregoing, the term “Partnership Subsidiary” shall not in any way be deemed to include the Non-Controlled Subsidiaries or subsidiaries thereof, the Taxable REIT Subsidiaries or subsidiaries thereof, or the Subsidiary REITs or subsidiaries thereof.

  • Seller Affiliate means any Affiliate of Seller.

  • Seller Group Member means (a) Seller and its Affiliates, (b) directors, officers and employees of Seller and its Affiliates and (c) the successors and assigns of the foregoing.

  • Company Group Member means each member of the Company Group.

  • Group Business Entity means;

  • Health care entity means any health care provider, health plan or health care clearinghouse.

  • School entity means a school district, intermediate

  • Surviving Business Entity has the meaning assigned to such term in Section 14.2(b).

  • Transferred Entities means the entities set forth on Schedule 1.5.

  • Company Entity means the Company or one of its Subsidiaries.

  • Acquired Entity means any entity acquired by the Company or a Related Company or with which the Company or a Related Company merges or combines.

  • Acquired Companies means, collectively, the Company and the Company Subsidiaries.