Fund Transactions definition

Fund Transactions means (i) adoption by or on behalf of such Fund of (A) an investment management agreement with the applicable Acquired Subsidiary (which agreement shall be in form and substance substantially identical to such Fund's existing investment management agreement with such Acquired Subsidiary), (B) an underwriting agreement on behalf of such Fund with an appropriately licensed Affiliate of Purchaser, (which agreement shall be in form and substance substantially identical to the existing underwriting agreement with such Fund), provided, however, that this clause (B) shall not apply to any Fund which as of the date hereof does not have an underwriting agreement with an Affiliate of Sellers, and (C) administrative services, transfer agency services and pricing and book-keeping services agreements with the applicable Acquired Subsidiaries with respect to other services provided to the Funds (which agreements shall be in form and substance substantially identical to such Funds' existing agreements with such Acquired Subsidiaries for such services), with each such agreement to be effective upon the Closing and (ii) all required actions under federal or state securities Laws in connection with the foregoing.
Fund Transactions means the reorganizations of each of the FBR Large Cap Fund, the FBR Small Cap Fund and the FBR Mid Cap Fund into the Hxxxxxxx Cornerstone Large Growth Fund, the Hxxxxxxx Cornerstone Growth Fund and the Hxxxxxxx Focus 30 Fund, respectively; and the reorganizations of each of the FBR Focus Fund, the FBR Gas Utility Index Fund, the FBR Small Cap Financial Fund, the FBR Large Cap Financial Fund, the FBR Technology Fund, the FBR Balanced Fund and the FBR Core Bond Fund into the Hxxxxxxx Select Focus Fund, the Hxxxxxxx Select Gas Utility Index Fund, the Hxxxxxxx Select Small Cap Financial Fund, the Hxxxxxxx Select Large Cap Financial Fund, the Hxxxxxxx Select Technology Fund, the Hxxxxxxx Select Balanced Fund and the Hxxxxxxx Select Core Bond Fund, respectively (“Shell Merger Reorganizations”).
Fund Transactions means any subscription or redemptions of shares or units in the Underlying on a Trading Day;

Examples of Fund Transactions in a sentence

  • Certain Fund Transactions (e.g., when-issued securities, delayed delivery transactions, and reverse repurchase agreements) require the Fund to segregate liquid assets sufficient to cover the future liability involved in these transactions.

  • Accordingly, employees may not disclose current portfolio holdings, Fund Transactions, or Securities Transactions proxy vote or corporate action made or contemplated, personal client or fellow employee personal information or any other non-public information to anyone outside of ALPS, without approval from the CCO or the Ethics Committee.

  • Access Persons that had no Covered Securities Transactions and/or Monitored Fund Transactions during a calendar quarter are not required to submit a Transaction Report (Appendix 10).

  • Closed-end Mutual Fund Transactions must be reported to US Legal for review for potential regulatory filings.

  • All Access Persons are required to report all Covered Securities Transactions and Monitored Fund Transactions conducted during each calendar quarter no later than thirty (30) days after the end of such calendar quarter.

  • The following procedures shall govern all Supervised Person Sales and Reportable Fund Transactions which are subject to preclearance by the Chief Compliance Officer, the Chief Legal Officer, the General Counsel or their designees.

  • All other Supervised Person Sales or Reportable Fund Transactions must be cleared in writing by the Chief Compliance Officer, the Chief Legal Officer, the General Counsel, or their designee prior to the Supervised Person’s entering into the transaction.

  • All Access Persons are required to submit to Batterymarch’s Compliance Department a Transaction Report (Appendix 10) no later than thirty (30) days after the end of each calendar quarter covering all Covered Securities Transactions and Monitored Fund Transactions during the quarter.

  • Non-Dodge & Cox Funds: You do not need to report or pre-clear any Non-Dodge & Cox Fund Transactions.

  • All Access Persons are required to submit to Batterymarch's Compliance Department a Transaction Report (Appendix 10) no later than thirty (30) days after the end of each calendar quarter covering all Covered Securities Transactions and Monitored Fund Transactions during the quarter.


More Definitions of Fund Transactions

Fund Transactions means the transactions described in Section 3.2(d).
Fund Transactions means the reorganization of the Xxxxxxx Funds into Xxxxxxxx Funds as follows: (i) Xxxxxxx Communications Fund reorganized into Xxxxxxxx Cornerstone Growth Fund; (ii) Xxxxxxx Growth & Income Fund reorganized into Xxxxxxxx Cornerstone Value Fund; (iii) Xxxxxxx Large-Cap Growth Fund reorganized into Xxxxxxxx Total Return Fund; (iv) Xxxxxxx Market Neutral Fund reorganized into Xxxxxxxx Balanced Fund; and (v) Xxxxxxx Small-Cap Growth Fund reorganized into Xxxxxxxx Cornerstone Growth Fund.
Fund Transactions means the reorganizations of each of the Westport Fund and the Westport Select Cap Fund into the Xxxxxxxx Cornerstone Mid Cap 30 Fund.
Fund Transactions means the reorganization of the TwinLine Energy Fund into the Xxxxxxxx XX Energy Fund and the reorganization of the TwinLine MLP Fund into the Xxxxxxxx XX Midstream Fund.
Fund Transactions means any transactions in a relevant Fund;
Fund Transactions with respect to a Fund, means (i) adoption by or on behalf of such Fund of (A) an investment management agreement with the applicable Subsidiary (which agreement shall be in form and substance substantially identical to such Fund's existing investment management agreement with such Subsidiary), (B) an underwriting agreement on behalf of such Fund with Liberty Funds Distributor, Inc., a Massachusetts corporation and a Subsidiary of the Company ("LFDI") (which agreement shall be in form and substance substantially identical to LFDI's existing underwriting agreement with such Fund), provided, however, that this clause (B) shall not apply to any Fund which as of the date hereof does not have an underwriting agreement with LFDI, and (C) administrative services, transfer agency services and pricing and bookkeeping services agreements with the applicable Subsidiaries with respect to other services provided to the Funds (which agreements shall be in form and substance substantially identical to such Funds' existing agreements with such Subsidiaries for such services) and (ii) all required actions under federal or state securities laws in connection with the foregoing.

Related to Fund Transactions

  • Related Transactions means the initial borrowing under the Revolving Loan on the Closing Date, the Refinancing, the payment of all fees, costs and expenses associated with all of the foregoing and the execution and delivery of all of the Related Transactions Documents.

  • Card Transactions means the value of goods and services purchased by means of the Card, and evidenced by sales receipt, or cash withdrawals effected with his Card, or at any point of sale.

  • Void Transaction means any transaction wherein the transaction has taken place but has been cancelled /rejected /unsuccessful by the Alliance Partner.

  • Acquisition Transactions means the transactions contemplated by the Acquisition Agreement.

  • Certain Transactions, Description of Capital Stock," "Shares Eligible for Future Sale" and "Underwriters" and (B) in the Registration Statement in Items 14 and 15, in each case insofar as such statements constitute summaries of the legal matters, documents or proceedings referred to therein, fairly present the information called for with respect to such legal matters, documents and proceedings and fairly summarize the matters referred to therein;

  • Formation Transactions means the transactions contemplated by this Agreement and the other Formation Transaction Documentation.

  • Exempt Transactions means the transactions described in the section hereof titled “Exempt Transactions.”

  • Merger Transactions means the Merger and the other transactions relating thereto or contemplated by the Merger Agreement.

  • Excluded Transactions means:

  • Pawn transaction means the same as that term is defined in Section 13-32a-102.

  • Roll-Up Transaction means a transaction involving the acquisition, merger, conversion or consolidation either directly or indirectly of the Company and the issuance of securities of a Roll-Up Entity to the holders of Common Shares. Such term does not include:

  • Restructuring Transactions means the transactions described in Article IV.B of the Plan.

  • Financing Transactions means the execution, delivery and performance by each Loan Party of the Loan Documents to which it is to be a party, the borrowing of Loans, the use of the proceeds thereof and the issuance of Letters of Credit hereunder.

  • FICASH III Transaction means a repurchase transaction in which the Repurchase Date is the Banking Day next following the Sale Date and for which securities issued by the government of the United States of America that are direct obligations of the government of the United States of America shall constitute Eligible Securities.

  • FICASH II Transaction means a repurchase transaction in which the Repurchase Date is the Banking Day next following the Sale Date and for which one or more of the following two categories of securities, as specified by the Funds, shall constitute Eligible Securities: (x) securities issued by the government of the United States of America that are direct obligations of the government of the United States of America, or (y) securities issued by or guaranteed as to principal and interest by the government of the United States of America, or by its agencies and/or instrumentalities, including, but not limited to, the Federal Home Loan Bank, Federal Home Loan Mortgage Corp., Government National Mortgage Association, Federal National Mortgage Association, Federal Farm Credit Bank, Federal Intermediate Credit Bank, Banks for Cooperatives, and Federal Land Banks.

  • Closing Transactions has the meaning set forth in Section 11.8(a) of these Bylaws.

  • Failed Transactions is the set of all requests within Total Transaction Attempts that do not return a Success Code within 30 seconds from Microsoft’s receipt of the request.

  • repurchase transaction means a transaction governed by an agreement by which a counterparty transfers securities or guaranteed rights relating to title to securities where that guarantee is issued by a recognised exchange which holds the rights to the securities and the agreement does not allow a counterparty to transfer or pledge a particular security to more than one counterparty at a time, subject to a commitment to repurchase them, or substituted securities of the same description at a specified price on a future date specified, or to be specified, by the transferor, being a repurchase agreement for the counterparty selling the securities and a reverse repurchase agreement for the counterparty buying them;

  • sale and repurchase transactions means transactions whereby a Sub-Fund sells its Securities to a counterparty of Reverse Repurchase Transactions and agrees to buy such Securities back at an agreed price with a financing cost in the future.

  • Reorganization Transactions shall have the meaning set forth in the Recitals.

  • Interim Capital Transactions means the following transactions if they occur prior to the Liquidation Date: (a) borrowings, refinancings or refundings of indebtedness and sales of debt securities (other than Working Capital Borrowings and other than for items purchased on open account in the ordinary course of business) by any Group Member; (b) sales of equity interests by any Group Member (including the Common Units sold to the Underwriters pursuant to the exercise of their over-allotment option); and (c) sales or other voluntary or involuntary dispositions of any assets of any Group Member other than (i) sales or other dispositions of inventory, accounts receivable and other assets in the ordinary course of business, and (ii) sales or other dispositions of assets as part of normal retirements or replacements.

  • Related Transactions Documents means the Loan Documents, and all other agreements or instruments executed in connection with the Related Transactions.

  • reverse repurchase transactions means transactions whereby a Sub-Fund purchases Securities from a counterparty of Sale and Repurchase Transactions and agrees to sell such Securities back at an agreed price in the future.

  • Permitted Transactions has the meaning set forth in Section 13(B).

  • Securities Financing Transactions means collectively securities lending transactions, sale and repurchase transactions and reverse repurchase transactions.

  • Package Transaction means a transaction involving two or more instruments: