Investment Transaction definition

Investment Transaction means any purchase, acquisition, exchange, sale or disposition, merger or interest exchange that results in the acquisition or disposition of, or other transaction involving, an Investment.

Investment Transaction means a transaction subject to Section 13(d), but not Section 16, of the Securities Exchange Act of 1934, provided that in connection with such a transaction, the Borrower or any applicable Subsidiary (as the case may be) has reported and at all times continues to report to the Securities and Exchange Commission that such transaction is undertaken for investment purposes only and not for any of the purposes specified in clauses 4(a) through (j), inclusive, of the special instructions for complying with Schedule 13D under the Securities Exchange Act of 1934.

Investment Transaction has the meaning set forth in Section 7.04.

Examples of Investment Transaction in a sentence

• If an Investment Transaction may not be reversed or unwound, you may be required to disgorge any profits associated with the transaction, which profits will be distributed in a manner prescribed by the Compliance Committee in the exercise of its discretion.

• If a proposed Investment Transaction is not executed (with the exception of a limit order) within the time specified, you must repeat the prior notification process before executing the transaction.

• Satisfaction of the prior notification requirement does not, however, constitute approval or authorization of any Investment Transaction for which you have given prior notification.

• This requirement also applies to any purchase or sale of a Security or Futures Contract in which you have, or by reason of the Investment Transaction will acquire, a Beneficial Ownership interest.

• Thus, as a general matter, any Investment Transaction in publicly-traded Securities or Publicly-Traded Futures Contracts by members of your Immediate Family will need to be made through a registered broker-dealer or futures commission merchant.

More Definitions of Investment Transaction

Investment Transaction means a transaction subject to Section 13(d) of the Exchange Act, provided that in connection with such transaction the Borrower or any Subsidiary (as the case may be) has reported and at all times continues to report to the SEC that such transaction is undertaken for investment purposes or strategic business purposes.

Investment Transaction has the meaning set forth in Paragraph 1B.

Investment Transaction means any transaction for which the principal purpose is to raise additional capital for the Company to further or execute its business plan.

Investment Transaction means a transaction in which the Company acquires control of, or makes a noncontrol investment in, a banking institution (including any savings association or similar financial institution) within the United States, provided that a noncontrol investment will not qualify as a Investment Transaction unless the Company obtains a board seat or other governance rights pursuant to a shareholder rights or similar agreement.

Investment Transaction. Any transaction between the Principal and the Agent made pursuant to Clause 6. Maturity Proceeds: the amount due to the Principal on the Maturity Date, calculated in accordance with the Agent Offer. Maturity Date: The date on which the Maturity Proceeds are to be paid to the Principal, as speci ed in the Agent Offer.

Investment Transaction. As defined in the Company’s amended and restated certificate of incorporation, as in effect on the date hereof.

Investment Transaction is defined in the Recitals.