Broker Securities definition

Broker Securities means, collectively, the Broker Warrants and the Broker Warrant Shares;
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Broker Securities has the meaning ascribed therein in Section 9 hereof;
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Broker Securities means collectively the Broker Shares and the Broker Warrants; “CDS” means CDS Clearing and Depository Services Inc.;
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Examples of Broker Securities in a sentence

  • In connection with the issuance of the Broker Securities, as the case may be, each of the Agents represents and warrants that (i) it is not a U.S. Person and it is not acquiring the Broker Securities in the United States, or on behalf of a U.S. Person or a person located in the United States, (ii) this Agreement was executed and delivered outside the United States and (iii) it is acquiring the Broker Securities, as principal for its own account and not for the benefit of any other person.

  • The Agents agree that they will not engage in any Directed Selling Efforts (as defined in Schedule “A”) with respect to any Broker Securities.

  • Pursuant to the Agency Agreement, the Company agreed to prepare and file a prospectus and all other necessary documents in order to qualify the securities issuable upon conversion of the Offered Securities (the “Underlying Securities”) to subscribers resident in Canada, or otherwise subject to the Canadian securities laws, upon exercise of the Broker Securities.

  • The Directors consider that Shareholder approval pursuant to Chapter 2E of the Corporations Act is not required in respect of the issue of the Broker Securities because the agreement to grant the Broker Securities was negotiated on an arm’s length basis.

  • Providers must comply with documentation requirements in OAC 317:30-5-248.(4)(5) Limitations.

  • The Stock Broker, Securities Dealer and Market Maker who are in operation at the time of commencement of the Act shall require to maintain the capital, ownership structure and shareholders pursuant to these Regulations within one year of the commencement of these Regulations and shall require to report the same to the Board.

  • In connection with the issuance of the Broker Securities, as the case may be, each Agent represents and warrants that it is acquiring the Broker Securities, as principal for its own account and not for the benefit of any other person.

  • No order ceasing or suspending trading in the Common Shares or other securities of the Corporation or prohibiting the issuance or sale of the Offered Securities or the issuance of the Broker Securities has been issued by any regulatory authority which is continuing in effect, and to the knowledge of the Corporation, no proceedings for such purpose has been threatened or are pending.

  • In connection with the issuance of the Broker Securities, as the case may be, each of the Underwriters represents and warrants that (i) it is not a U.S. Person and it is not acquiring the Broker Securities in the United States, or on behalf of a U.S. Person or a person located in the United States, (ii) this Agreement was executed and delivered outside the United States and (iii) it is acquiring the Broker Securities, as principal for its own account and not for the benefit of any other person.

  • The representations and warranties contained herein may be relied upon by GMP and the Purchaser, and shall survive the closing of the Transaction for a period of two (2) years and shall continue in full force and effect, unaffected by any subsequent disposition of the Purchased Shares or Broker Securities by the purchasers thereof, and shall not be limited or prejudiced by any investigation made by or on behalf of GMP in connection with the Transaction.


More Definitions of Broker Securities

Broker Securities means the Broker Warrants, the Compensation Units, the Compensation Unit Shares, the Compensation Unit Warrants, and the Compensation Unit Warrant Shares;
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Broker Securities has the meaning ascribed to such term in Section 14 of the Representations and Warranties of the Agent;
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Related to Broker Securities

  • Purchaser Securities means the Purchaser Units, the Purchaser Common Stock, the Purchaser Preferred Stock and the Purchaser Warrants, collectively.

  • Broker Warrants has the meaning ascribed to such term in Section 12 hereof;

  • Other Securities refers to any stock (other than Common Stock) and other securities of the Company or any other person (corporate or otherwise) which the holder of the Warrant at any time shall be entitled to receive, or shall have received, on the exercise of the Warrant, in lieu of or in addition to Common Stock, or which at any time shall be issuable or shall have been issued in exchange for or in replacement of Common Stock or Other Securities pursuant to Section 4 or otherwise.

  • Exempt Securities has the meaning set forth in Section 4.4(d).

  • Covered Securities means any note, stock, treasury stock, security future, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, any put, call, straddle, option, or privilege on any security (including a certificate of deposit) or on any group or index of securities (including any interest therein or based on the value thereof), or any put, call, straddle, option, or privilege entered into on a national securities exchange relating to foreign currency, or, in general, any interest or instrument commonly known as a "security", or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase any of the foregoing.

  • Related Securities means any options or warrants or other rights to acquire Shares or any securities exchangeable or exercisable for or convertible into Shares, or to acquire other securities or rights ultimately exchangeable or exercisable for or convertible into Shares.

  • Investor Securities is defined in Section 2.1.

  • Designated Securities means securities issued by an Insured, or by any Affiliated Entity, or by any Fund to which such Insured or any Affiliated Entity provides any services.

  • NIM Securities As defined in the tenth Recital to this Agreement.

  • Lock-Up Securities has the meaning set out in Section 5(l).

  • Series B Securities means the 11-1/2% Senior Notes due 2007, Series B, of the Company to be issued pursuant to this Indenture in exchange for the Series A Securities pursuant to the Registered Exchange Offer and the Registration Rights Agreement.

  • ETP Securities means the Series of ETP Securities to which these Conditions relates or, as the context may require, any or all securities issued by the Issuer under the Programme.

  • Offeror’s Securities means Voting Shares Beneficially Owned by an Offeror on the date of the Offer to Acquire;

  • Securities as used herein does not include (i) securities of issuers that are affiliated with the Buyer or are part of the Buyer's Family of Investment Companies, (ii) securities issued or guaranteed by the U.S. or any instrumentality thereof, (iii) bank deposit notes and certificates of deposit, (iv) loan participations, (v) repurchase agreements, (vi) securities owned but subject to a repurchase agreement and (vii) currency, interest rate and commodity swaps.

  • Exempted Securities means:

  • BofA Securities means BofA Securities, Inc.

  • Underlying Securities means any securities issuable on conversion, exchange or exercise of compensation securities.

  • Permitted Securities means any of the following:

  • Series A Securities means the Company's Series A 9 3/8% Junior Subordinated Deferrable Interest Debentures due May 1, 2028 as authenticated and issued under this Indenture.

  • Rule 144A Securities means Securities of a series designated pursuant to Section 2.01 as entitled to the benefits of Section 4.03(b).

  • Other Registrable Securities means (i) any Common Equity held (directly or indirectly) by any Other Holders or any of their Affiliates, and (ii) any equity securities of the Company or any Subsidiary issued or issuable with respect to the securities referred to in clause (i) above by way of dividend, distribution, split or combination of securities, or any recapitalization, merger, consolidation or other reorganization.

  • Listed Securities means any Shares, Share Options, stock, debentures, debenture stock or other securities for the time being issued by the Company and officially quoted by ASX;

  • Exchangeable Securities means any securities of any trust, limited partnership or corporation other than the Trust that are convertible or exchangeable directly for Units without the payment of additional consideration therefor;

  • Subject Securities means: (i) all securities of the Company (including all shares of Company Common Stock and all options, warrants and other rights to acquire shares of Company Common Stock) Owned by Stockholder as of the date of this Agreement; and (ii) all additional securities of the Company (including all additional shares of Company Common Stock and all additional options, warrants and other rights to acquire shares of Company Common Stock) of which Stockholder acquires Ownership during the period from the date of this Agreement through the Expiration Date.

  • Approved Securities means securities of any State Government or of the Central Government and such bonds, both the principal whereof and the interest whereon shall have been fully and unconditionally guaranteed by any such Government;

  • Escrowed Securities means the direct, noncallable obligations of the United States of America, as described in the Escrow Agreement.