Offering Securities definition

Offering Securities means, collectively, the Special Warrants, the Units, the Penalty Units, the Unit Shares, the Warrants, the Warrant Shares, the Compensation Options, the Advisory Options, the Agent's Units, the Agent's Shares, the Agent's Warrants and the Agent's Warrant Shares, includes any of the foregoing issuable in connection with any exercise of the Over-Allotment Option or as a result of the issuance of any Penalty Units or Agent's Penalty Units;
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Offering Securities means, collectively, the Special Warrants, SW Shares, Compensation Options, Advisory Options and Agent's Shares, includes any of the foregoing issuable in connection with any exercise of the Over-Allotment Option;
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Offering Securities means, collectively, the Subscription Receipts, SR Shares, Compensation Options and Agent Shares, includes any of the foregoing issuable in connection with any exercise of the Over- Allotment Option;
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Examples of Offering Securities in a sentence

  • Advisory Persons who have acquired Limited Offering Securities pursuant to prior written approval from the CCO or his or her designee must immediately disclose that investment to the CCO or his or her designee before they participate at any level in any Aquila Fund's subsequent consideration of an investment in the same issuer.

  • Notwithstanding anything in this Agreement to the contrary, the Company acknowledges that the Underwriter may have financial interests in the success of the Offering that are not limited to the difference between the Per Share Price to the public and the purchase price paid to the Company by the Underwriter for the Offering Securities and the Underwriter has no obligation to disclose, or account to the Company for, any of such additional financial interests.

  • Employees who have acquired Limited Offering Securities pursuant to prior written approval from the CCO must immediately disclose that investment to the CCO before they participate at any level in any Aquila Fund’s or other Aquila client’s subsequent consideration of an investment in the same issuer.

  • Under such circumstances, the Adviser's decision to purchase the Private Offering Securities shall be subject to an independent review by Investment Personnel with no personal interest in the Private Offering Securities.

  • You and members of your Family/Household are prohibited from trading in Real Estate Securities or any Limited Offering Securities (regardless of whether or not such securities are real estate related securities), in either case without submitting a prior written request to and receiving written approval from the Chief Compliance Officer.

  • Neither the Firm nor any Firm Personnel may acquire an interest in an offering of securities that are exempt from registration under the Securities Act of 1933 (Private Placements or Limited Offering Securities) unless approval of such acquisition is requested and approved in writing by Management or a Designated Principal or his designee in advance of the purchase.

  • In addition, the Group has disclosed relevant financial information in accordance with Information Disclosure and Presentation Rules for Companies Offering Securities to the Public No. 15－ General Provisions on Financial Reporting (revised in 2014).

  • General Rule for all Employees: You and members of your Family/Household are prohibited from trading in Real Estate Securities or any Limited Offering Securities (regardless of whether or not such securities are real estate related securities), in either case without submitting a prior written request to and receiving written approval from the Chief Compliance Officer.

  • Although it is expected that all distributions of Rights Offering Securities and Substitute Distributions, if in the form of New Permian Corp.

  • The Company shall not be required to comply with this Section 3.3 unless the aggregate Current Market Price of all Demand Offering Securities covered by the Demand Offering Request and the Demand Offering Securities described in Section 3.3(a)(ii) shall be $75 million or more (unless and to the extent the Demand Initiating Holder shall hold less than $75 million of Demand Offering Securities, in which case such minimum offering amount shall be equal to the amount of Demand Offering Securities so held).


More Definitions of Offering Securities

Offering Securities has the meaning set out in Section 3.1(a);
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Related to Offering Securities

  • Qualifying Securities means securities issued by the Issuer that:

  • Controlling Securities means (i) the Class A Notes so long as the Class A Notes are outstanding, (ii) after the Class A Notes are no longer outstanding, the Class B Notes so long as the Class B Notes are outstanding and (iii) after the Class B Notes are no longer outstanding, the Class C Notes so long as the Class C Notes are outstanding.

  • Closing Securities shall have the meaning ascribed to such term in Section 2.1(a)(ii).

  • Existing Securities means, collectively, the Equity Securities and the Debt Securities.

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

  • Offering Shares means the shares of Common Stock included in the Units issued pursuant to this Agreement and Investor Warrant Shares.

  • APM Qualifying Securities means, with respect to an Alternative Payment Mechanism or any Mandatory Trigger Provision, one or more of the following (as designated in the transaction documents for any Qualifying Capital Securities that include an Alternative Payment Mechanism or a Mandatory Trigger Provision, as applicable):

  • Company Voting Securities means the combined voting power of all outstanding voting securities of the Company entitled to vote generally in the election of directors to the Board.

  • Offered Securities shall have the meaning specified in Section 5.03(b)(ii)(B).

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

  • Outstanding Voting Securities means the combined voting power of the then-outstanding voting securities of the Company entitled to vote generally in the election of directors.

  • 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.

  • Outstanding Securities means, with respect to any Security and as of the date of determination, all Securities evidenced by Certificates theretofore authenticated, executed and delivered under this Agreement, except:

  • Contract Securities means the Offered Securities, if any, to be purchased pursuant to the delayed delivery contracts referred to below.

  • Rights Offering Shares means the shares of New Common Stock (including all Unsubscribed Shares purchased by the Commitment Parties pursuant to this Agreement) distributed pursuant to and in accordance with the Rights Offering Procedures.

  • 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.

  • Outstanding Company Voting Securities means outstanding voting securities of the Company entitled to vote generally in the election of directors; and any specified percentage or portion of the Outstanding Company Voting Securities (or of other voting stock or voting securities) shall be determined based on the relative combined voting power of such securities;

  • Underlying Securities Issuer With respect to an Underlying Security, the issuer thereof (including, if applicable, the guarantor of the Underlying Security), as identified in the Underlying Securities Schedule.

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

  • Refused Securities has the meaning ascribed to such term in Section 4.1(c)

  • 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;

  • 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.

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

  • 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.

  • New Securities means, collectively, equity securities of the Company, whether or not currently authorized, as well as rights, options, or warrants to purchase such equity securities, or securities of any type whatsoever that are, or may become, convertible or exchangeable into or exercisable for such equity securities.