Indirect Beneficial Interest definition

Indirect Beneficial Interest means a Person, who is not an owner, receives an indirect benefit from an investment in a Reportable Security. An Indirect Beneficial Interest may be derived from any number of sources, as noted above.
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Indirect Beneficial Interest means a Person, who is not an owner, receives an indirect benefit from an investment in a Reportable Security. An Indirect Beneficial Interest may be derived from any number of sources.BARROW, HANLEY, MEWHINNEY & STRAUSS, LLC Page 3
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Indirect Beneficial Interest means a Person, who is not an owner, receives an indirect benefit from an investment in a Reportable Security. An Indirect Beneficial Interest may be derived from any number of sources. CODE OF ETHICS3 DECEMBER 31, 2017
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Examples of Indirect Beneficial Interest in a sentence

  • A Direct or Indirect Beneficial Interest is any direct ownership or an indirect pecuniary interest through any contract, arrangement, understanding, relationship or otherwise, including immediate family members (person who is supported directly or indirectly to a material extent by such person), partners in a partnership or beneficiaries of a trust.

  • The securities holdings reports must contain, at a minimum: Rev 12.2019 Page 4 of 9 •The type and title of security, and the exchange ticker symbol or CUSIP number, the number of shares, and the principal amount of each reportable security in which the Access Person has any Direct or Indirect Beneficial Interest; •The name of any broker, dealer or bank with which the Access Person maintains an Account; and •The date the Access Person submits the report.

  • A Direct or Indirect Beneficial Interest includes any direct ownership or an indirect pecuniary interest through any contract, arrangement, understanding, relationship or otherwise, including immediate family members (person who is supported directly or indirectly to a material extent by such person), partners in a partnership or beneficiaries of a trust.

  • What is a “Direct or Indirect Beneficial Interest”?A Direct or Indirect Beneficial Interest is any direct ownership or an indirect pecuniary interest through any contract, arrangement, understanding, relationship or otherwise, including immediate family members (person who is supported directly or indirectly to a material extent by such person), partners in a partnership or beneficiaries of a trust.

  • What is a Direct or Indirect Beneficial InterestA Direct or Indirect Beneficial Interest is any direct ownership or an indirect pecuniary interest through any contract, arrangement, understanding, relationship or otherwise, including immediate family members in the same household, partners in a partnership or beneficiaries of a trust.

  • Sentinel must maintain a record of all transactions in Reportable Securities in which an Access Person has a “direct or indirect beneficial interest.” A Direct or Indirect Beneficial Interest is any direct ownership or an indirect pecuniary interest through any contract, arrangement, understanding, relationship or otherwise, including immediate family members (person who is supported directly or indirectly to a material extent by such person), partners in a partnership or beneficiaries of a trust.

  • In these instances, the Access Person shall obtain formal approval of the CCO in advance of any trades.Key Definitions:Direct or Indirect Beneficial Interest.

  • The Advisor requires pre-approval from the CCO, via the Pre-Approval Submission Form, (which is good for ONLY one (1) business day), before acquiring direct or indirect beneficial ownership in any initial public offering (IPO), limited offering, or security on the Advisor’s Restricted List.The Advisor or its Access Persons may invest in similar securities that are recommended to Clients.Key Definition(s):Direct or Indirect Beneficial Interest.

  • What Is a “Direct or Indirect Beneficial Interest”?A Direct or Indirect Beneficial Interest is any direct ownership or an indirect pecuniary interest through any contract, arrangement, understanding, relationship or otherwise, including immediate family members (person who is supported directly or indirectly to amaterial extent by such person), partners in a partnership or beneficiaries of a trust.

  • Generally, an Access Person or a related person will be regarded as having a Direct or Indirect Beneficial Interest in accounts or securities held in his/her name, as well as in the name of a spouse, minor child who lives with such person, any member of such person’s immediate family1 in the same household or any other relative (parents, adult children, brothers, sisters, in-laws, etc.) whose investments such person directs or controls, whether they live together or not.

Related to Indirect Beneficial Interest

  • Indirect Ownership Interest means an ownership interest in an entity that has an ownership interest in another entity. Indirect ownership interest includes an ownership interest in an entity that has an indirect ownership interest in another entity.

  • body in which the relevant person has a beneficial interest means a firm in which the relevant person is a partner or a body corporate of which the relevant person is a director, or in the securities of which the relevant person has a beneficial interest;

  • 144A Global Note means a Global Note substantially in the form of Exhibit A hereto bearing the Global Note Legend and the Private Placement Legend and deposited with or on behalf of, and registered in the name of, the Depositary or its nominee that will be issued in a denomination equal to the outstanding principal amount of the Notes sold in reliance on Rule 144A.

  • Beneficial use means the right to possession, use, and enjoyment of property, limited only by encumbrances, easements, and restrictions of record.

  • Regulation S Global Note means a Global Note substantially in the form of Exhibit A hereto bearing the Global Note Legend and the Private Placement Legend and deposited with or on behalf of and registered in the name of the Depositary or its nominee, issued in a denomination equal to the outstanding principal amount of the Notes sold in reliance on Rule 903 of Regulation S.

  • Global Note shall have the meaning specified in Section 2.05(b).

  • Rule 144A Global Note has the meaning assigned to it in Section 2.1(d).

  • Class B Additional Interest shall have the meaning specified in subsection 4.02(b).