SEC Matter definition

SEC Matter means the formal investigation relating to the Company by the SEC of which the Company was notified of such formal investigation in August 2020, and all other matters, investigations, claims, actions, proceedings, circumstances, effects and actions relating or ancillary thereto, arising therefrom or in connection therewith.
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SEC Matter means the U.S. Securities and Exchange Commission’s (the “SEC”) investigation of Borrower’s revenue recognition practices and financial reporting.
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SEC Matter means the U.S. Securities and Exchange Commission investigation of the Company’s revenue recognition practices and financial reporting.
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Examples of SEC Matter in a sentence

  • AAIC’s Cross-Motion for Summary Judgment In AAIC’s view: (1) the SEC Matter constitutes neither a Securities Claim against Hertz, nor a Claim against Insured Persons; (2) Hertz failed to provide AAIC with proper notice; (3) collateral estoppel and res judicata apply to bar this subsequent action; and, (4) the underlying insurance has not been exhausted.44IV.

  • Defendant’s Opening Supplemental Brief (D.I. 105); Opening Supplemental Brief in Support of Plaintiff’s Motion For Partial Summary Judgment (D.I. 106); Reply in Support of Plaintiff’s Opening Supplemental Brief in Support Of Plaintiff’s Motion For Partial Summary Judgment (D.I. 117); Defendant’s Supplemental Response Brief (D.I. 118).Order constituted an administrative or regulatory proceeding.42 Hertz says the SEC Matter is also a Claim against Insured Persons for those same reasons.43 B.

  • Evaluators may utilize an informal weighting scheme as a tool (not to be considered the formal evaluation) to assist them in formulating their evaluation.

  • Employee further agrees that he and his separate counsel will permit attorneys for S&W and their agents to actively participate and assist in the preparation of Employee for any future testimony in the SEC Matter or Litigation.

  • To Hertz, the SEC Matter constitutes a Claim against Insured Persons.

  • The evidence here clearly demonstrates the existence of a joint defense agreement among counsel for the Individuals and Aequitas regarding the SEC Matter.

  • June 6, 2022 SCWorx Completes Settlement of Previously Disclosed SEC Matter New York, NY, June 6, 2022 (GLOBE NEWSWIRE) – SCWorx Corp (Nasdaq: WORX) today announced that the Company has received final court approval for a settlement with the Securities and Exchange Commission (“SEC”), to resolve the SEC matter arising out of the Company’s April 13, 2020 press release and the events thereafter (first disclosed in the Company’s March 31, 2020 10-Q).

  • In late 2015 and early 2016, Sidley and Mr. Holmen, as general counsel for Aequitas, recommended that the Individuals retain personal counsel for the SEC Matter.

  • Plaintiff is the Receiver appointed by this Court in the SEC Matter.

  • Employee represents and warrants that he is not aware of any governmental or regulatory investigation or inquiry involving the S&W Parties other than the SEC Matter, the review of S&W’s periodic filings by the Securities and Exchange Commission Division of Corporation Finance, and S&W’s compliance with the listing requirements of the American Stock Exchange.


More Definitions of SEC Matter

SEC Matter means all governmental inquiries, investigations, proceedings, actions, orders, litigation related to the ICO, including but not limited to the pending investigation by the SEC and the Massachusetts Securities Division.
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Related to SEC Matter

  • Specified Matter means any Amendment of a Portfolio Investment that (a) reduces the principal amount of such Portfolio Investment, (b) reduces the rate of interest payable on such Portfolio Investment, (c) postpones the due date of any scheduled payment or distribution in respect of such Portfolio Investment, (d) alters the pro rata allocation or sharing of payments or distributions required by any related underlying instrument in a manner adverse to the Company, (e) releases any material guarantor of such Portfolio Investment from its obligations, (f) terminates or releases any lien on a material portion on the collateral securing such Portfolio Investment, (g) changes any of the provisions of any such underlying instrument specifying the number or percentage of lenders required to effect any of the foregoing or (h) materially changes any financial maintenance covenant.

  • Reserved Matter means any proposal to change any date fixed for payment of principal or interest in respect of the Notes, to reduce the amount of principal or interest payable on any date in respect of the Notes, to alter the method of calculating the amount of any payment in respect of the Notes or the date for any such payment, to change the currency of any payment under the Notes or to change the quorum requirements relating to meetings or the majority required to pass an Extraordinary Resolution;

  • Transaction Litigation has the meaning set forth in Section 5.2(d).

  • Excluded Matter means any action, suit or proceeding by the Corporation or one of its subsidiaries against any Indemnitee who is or was an employee, but not an officer, of the Corporation, or is or was serving at the request of the Corporation as an employee, but not as a director or officer, of another corporation, partnership, joint venture, trust, employee benefit plan or other enterprise.

  • Indemnified Matter has the meaning specified in Section 11.4 (Indemnities).

  • Unresolved Claims shall have the meaning set forth in Section 9.6(b).

  • Disclosed Litigation has the meaning specified in Section 3.01(b).

  • Threatened litigation as used herein shall include governmental investigations and civil investigative demands. “Litigation” as used herein shall include administrative enforcement actions brought by governmental agencies. The Contractor must also disclose any material litigation threatened or pending involving Subcontractors, consultants, and/or lobbyists. For purposes of this section, “material” refers, but is not limited, to any action or pending action that a reasonable person knowledgeable in the applicable industry would consider relevant to the Work under the Contract or any development such a person would want to be aware of in order to stay fully apprised of the total mix of information relevant to the Work, together with any litigation threatened or pending that may result in a substantial change in the Contractor’s financial condition.

  • Indemnified Matters has the meaning specified therefor in Section 12.15.

  • Secret Matter means any matter connected with or arising out of the performance of this Contract which has been, or may hereafter be, by a notice in writing given by the Customer to the Supplier be designated ‘top secret’, ‘secret’, or ‘confidential’;

  • Tax Matter has the meaning set forth in Section 7.01.

  • Parent Disclosure Letter has the meaning set forth in Article IV.

  • Material Litigation is defined in Section 6.7.

  • Disclosed Matters means the actions, suits and proceedings and the environmental matters disclosed in Schedule 3.06.

  • Victim or target of Nazi persecution means any individual persecuted or targeted for persecution by

  • Released Matters MEANS ANY AND ALL CLAIMS, DEMANDS, DAMAGES, DEBTS, LIABILITIES, OBLIGATIONS, COSTS, EXPENSES (INCLUDING ATTORNEYS’ AND ACCOUNTANTS’ FEES AND EXPENSES), ACTIONS AND CAUSES OF ACTION OF ANY NATURE WHATSOEVER, WHETHER NOW KNOWN OR UNKNOWN, SUSPECTED OR UNSUSPECTED, THAT THE XXXXXX PARTIES NOW HAVE, OR AT ANY TIME PREVIOUSLY HAD, OR SHALL OR MAY HAVE IN THE FUTURE, AS A HOLDER OF PREFERRED STOCK OF XEROX OR CONDUENT, ARISING BY VIRTUE OF OR IN ANY MATTER RELATED TO ANY ACTIONS OR INACTIONS WITH RESPECT TO THE SPIN-OFF; PROVIDED THAT RELEASED MATTERS SHALL NOT INCLUDE ANY RIGHT OF XXXXXX CONTAINED IN THIS AGREEMENT, THE SETTLEMENT AGREEMENT OR IN THE TERMS OF THE XEROX CERTIFICATE OF AMENDMENT OR THE CONDUENT CERTIFICATE OF AMENDMENT. IT IS THE INTENTION OF XXXXXX IN EXECUTING THIS RELEASE, AND IN GIVING AND RECEIVING THE CONSIDERATION CALLED FOR HEREIN, THAT THE RELEASE CONTAINED IN THIS SECTION 6.06 SHALL BE EFFECTIVE AS A FULL AND FINAL ACCORD AND SATISFACTION AND GENERAL RELEASE OF AND FROM ALL RELEASED MATTERS AND THE FINAL RESOLUTION BY THE XXXXXX PARTIES AND THE RELEASED PARTIES OF ALL RELEASED MATTERS. XXXXXX HEREBY REPRESENTS TO XEROX AND CONDUENT THAT NONE OF THE XXXXXX PARTIES HAVE VOLUNTARILY OR INVOLUNTARILY ASSIGNED OR TRANSFERRED OR PURPORTED TO ASSIGN OR TRANSFER TO ANY PERSON ANY RELEASED MATTERS AND THAT NO PERSON OTHER THAN XXXXXX HAS ANY INTEREST IN ANY RELEASED MATTER BY LAW OR CONTRACT BY VIRTUE OF ANY ACTION OR INACTION BY XXXXXX. THE INVALIDITY OR UNENFORCEABILITY OF ANY PART OF THIS SECTION 6.06 SHALL NOT AFFECT THE VALIDITY OR ENFORCEABILITY OF THE REMAINDER OF THIS SECTION 6.06 WHICH SHALL REMAIN IN FULL FORCE AND EFFECT.

  • Unresolved Claim means a Claim, which at the relevant time, in whole or in part: (a) has not been Finally Determined to be a Proven Claim in accordance with the Amended Claims Procedure Order and this Plan; (b) is validly disputed in accordance with the Amended Claims Procedure Order; and/or (c) remains subject to review and for which a Notice of Allowance or Notice of Revision or Disallowance (each as defined in the Amended Claims Procedure Order) has not been issued to the Creditor in accordance with the Amended Claims Procedure Order as at the date of this Plan, in each of the foregoing clauses, including both as to proof and/or quantum;

  • Parent Disclosure Schedule means the disclosure schedules delivered by Parent to the Company simultaneously with the execution of this Agreement.

  • Matter is a claim, a material issue or a substantial request for relief.

  • transitional matter means a matter that needs to be dealt with for the purpose of effecting the transition from the provisions of the Acts amended by this Act as in force before this Act comes into operation to the provisions of those Acts as in force after this Act comes into operation.

  • Reserved Matters has the meaning given in Clause ‎5.1.2.

  • Adverse decision means a decision reducing,

  • Litigation means any action, suit or proceeding before any court, mediator, arbitrator or Governmental Authority.

  • Excluded Matters shall have the meaning given such term in Section 13.3 hereof.

  • Disinterested witness means a witness other than the spouse, child, parent, sibling, grandchild, grandparent, or guardian of the individual who makes, amends, revokes, or refuses to make an anatomical gift, or another adult who exhibited special care and concern for the individual. The term does not include a person to which an anatomical gift could pass under Section 44‑43‑350.

  • Pending Litigation means a proceeding in a court of law whose activity is in progress but not yet completed.