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 (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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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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Examples of Aquila Entity in a sentence

  • 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.

  • 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.

  • 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.

  • Any invitations involving travel for more than one day where travel expenses will be paid or reimbursed by a person that does business with an Aquila Entity, the Fund or any other Aquila Fund must have advance approval from the CCO, or the President in the CCO's absence.

  • 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.

  • 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.

  • 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.

  • Prior to commencement of employment with any Aquila Entity and annually thereafter, each Advisory Person shall provide the C.O. with a written list of all positions held by the Advisory Person with any publicly-traded company.

  • 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.

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 (a) the Borrower and (b) each Restricted Subsidiary.

  • Acquired Entities means the Company and the Company Subsidiaries.

  • 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.

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

  • 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 each of the Company and 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.