Options on Securities definition

Options on Securities means any options on Securities (including Options on Currencies (Exchange-Traded)).
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Examples of Options on Securities in a sentence

  • Options on Securities, Securities Indices and Foreign Currencies.

  • Holding, purchasing, or selling Options on Securities is generally prohibited.

  • The receipt of Securities and Options on Securities is still subject to reporting requirements under the Code.

  • Options on Securities acquired in advance of initial designation as an Access Person, or received via gift, inheritance, or change in Immediate Family member status, may be held until the option is exercised on the expiration date (or the last business day prior to the expiration date).

  • The following Securities are not subject to this prohibition: • Options on Securities held or to be acquired by a Discretionary Account; and • Options on Securities received pursuant to a Non-RS Investments Employee Compensation Program or Non-RS Investments Employee Stock Participation Program, with prior approval from the Compliance Department.

  • Trusts YES DERIVATIVES ANY EXCHANGE TRADED, NASDAQ, OR OTC OPTION OR FUTURE INCLUDING BUT NOT LIMITED TO: Futures (Including Financial Futures) NO Options on Foreign Currency YES Options on Futures YES Options on Indexes YES Options on Securities YES FOREIGN CURRENCY NO Exchanges made for personal travel are not reportable.

  • For more information see “Portfolio Securities and Techniques— Options on Securities, Securities Indices and Foreign Currencies.” Risks of Investing in Internet and Internet-Related Companies.

  • As soon as reasonably practicable, the Company shall use its best efforts to register the shares underlying the Stock Options on Securities and Exchange Commission Form S-8, including the registration of any shares underlying Stock Options vested prior to the date of filing such Form S-8.

  • Each Fund will establish segregated accounts or will provide cover with respect to written options on financial futures contracts in a manner similar to that described under "Options on Securities." Options on futures contracts involve risks similar to those risks relating to transactions in financial futures contracts described above.

  • Options on Securities of Companies Held by Price Associates' or RPFI's Clients.

Related to Options on Securities

  • NIM Securities Any debt securities secured or otherwise backed by some or all of the Class X and Class P Certificates that are rated by one or more Rating Agencies.

  • Trust Preferred Securities any preferred securities issued by a Trust Preferred Securities Subsidiary, where such preferred securities have the following characteristics:

  • Series A Securities means the Company's 10.01% Series A Junior Subordinated Deferrable Interest Debentures due March 15, 2027, as authenticated and issued under this Indenture.

  • Foreign Securities include: securities issued and sold primarily outside the United States by a foreign government, a national of any foreign country or a corporation or other organization incorporated or organized under the laws of any foreign country and securities issued or guaranteed by the government of the United States or by any state or any political subdivision thereof or by any agency thereof or by any entity organized under the laws of the United States or of any state thereof which have been issued and sold primarily outside the United States.

  • Corporation Securities means (i) shares of Common Stock, (ii) shares of Preferred Stock (other than preferred stock described in Section 1504(a)(4) of the Code), (iii) warrants, rights, or options (including options within the meaning of Treasury Regulation § 1.382-2T(h)(4)(v)) to purchase stock of the Corporation, and (iv) any other interest that would be treated as “stock” of the Corporation pursuant to Treasury Regulation § 1.382-2T(f)(18).

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

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

  • Common Securities means the securities representing common undivided beneficial interests in the assets of the Issuer.

  • Lock-Up Securities shall have the meaning set forth in Section 4.1.

  • Redemption Securities means any debt or equity securities of the Corporation, any Subsidiary or any other corporation or other entity, or any combination thereof, having such terms and conditions as shall be approved by the Board of Directors and which, together with any cash to be paid as part of the redemption price, in the opinion of any nationally recognized investment banking firm selected by the Board of Directors (which may be a firm which provides other investment banking, brokerage or other services to the Corporation), has a value, at the time notice of redemption is given pursuant to paragraph (d) of this Section 5, at least equal to the Fair Market Value of the shares to be redeemed pursuant to this Section 5 (assuming, in the case of Redemption Securities to be publicly traded, such Redemption Securities were fully distributed and subject only to normal trading activity).

  • Option Securities shall have the meaning ascribed to such term in Section 2.2(a).

  • Transfer Restricted Securities means Securities that bear or are required to bear the legend relating to restrictions on transfer relating to the Securities Act set forth in Section 2.3(e) hereto.

  • Underwriters' Securities means the Offered Securities other than Contract Securities.

  • Investor Securities means the securities eligible for registration pursuant to the Registration Rights Agreement.

  • Equity Preferred Securities means, with respect to any Person, any trust preferred securities or deferrable interest subordinated debt securities issued by such Person or other financing vehicle of such Person that (i) have an original maturity of at least twenty years, and (ii) require no repayments or prepayments and no mandatory redemptions or repurchases, in each case, prior to the first anniversary of the latest Maturity Date.

  • Individual Securities shall have the meaning specified in Section 3.01(p).

  • Senior Securities means senior securities (as such term is defined and determined pursuant to the Investment Company Act and any orders of the SEC issued to the Borrower thereunder).

  • Series A Warrants means, collectively, the Common Stock purchase warrants delivered to the Purchasers at the Closing in accordance with Section 2.2(a) hereof, which Warrants shall be exercisable immediately from the Closing Date and have a term of exercise equal to five (5) years, in the form of Exhibit A attached hereto.

  • Other Common Securities Guarantees shall have the same meaning as "Other Guarantees" in the Common Securities Guarantee.

  • Reorganization Securities has the meaning set forth in Section 6.9 hereof.

  • Conversion Securities has the meaning set forth in Section 4.08(b).

  • Registration Rights Agreements means that certain Registration Rights Agreement dated as of the Closing Date by and between the Parent and Laurus and each other registration rights agreement by and between the Parent and Laurus, as each of the same may be amended, modified and supplemented from time to time.

  • UST Preferred Stock means the Issuer’s Fixed Rate Cumulative Perpetual Preferred Stock, Series [●].

  • Series A Shares means the Company’s Series A Preferred Stock, par value $0.01 per share.

  • Preference Shares means the Preference Shares in the capital of the Company of $0.0001 nominal or par value designated as Preference Shares, and having the rights provided for in these Articles.