Securities Restrictions definition

Securities Restrictions means transfer restrictions or other Liens arising out of, under, or in connection with (i) the Securities Act, the Exchange Act, or other applicable federal, state, and local securities Laws and (ii) restrictions on transfer, hypothecation, or similar actions contained in any Governing Documents.
Sample 1
Securities Restrictions means, with respect to any security (including the Company Stock), any restrictions (whether on the transferability thereof or otherwise) imposed on such security under the Securities Act or other applicable securities laws.
Sample 1
Securities Restrictions means restrictions imposed on the transfer of securities by applicable federal and state securities Laws.
Sample 1

Examples of Securities Restrictions in a sentence

  • Exchange and Registration of Transfer of Securities; Restrictions on Transfers; Depositary.......................................................................

  • Exchange and Registration of Transfer of Securities; Restrictions on Transfers; Depositary..................................................12 Section 2.7. Replacement Securities....................................................19 Section 2.8. Outstanding Securities, Determinations of Holders' Action.................20 Section 2.9. Temporary Securities......................................................20 Section 2.10.

  • In contrast, there are many other instances in which funds, by employing derivatives, have avoided losses, increased returns, and lowered risk.B. Derivatives and the Senior Securities Restrictions of the Investment Company Act 1.

  • Register of ------------------------------------------------------------ Securities; Restrictions on Transfer.

  • Registration of Transfer and Exchange of Preferred Securities; Restrictions on Transfer .

  • Derivatives and the Senior Securities Restrictions of the Investment Company Act1.

  • The Supreme Court accepted the position of the District Court that regulation 5 of Securities [Restrictions on Conflicts of Interest Between a Listed Company and its Controlling Shareholder], Regulation 5754-1994 [this corresponds today to section 281 of the Companies Act] does not grant the right to a personal claim but rather grants the right to claim only against the company.

  • Exchange and Registration of Transfer of Securities; Restrictions on Transfers; Depository...........................................................................6 SECTION 2.05.

  • The Consideration Shares, when issued, sold, and delivered in accordance with the terms and for the consideration set forth in this Agreement, will be validly issued, fully paid, and nonassessable, and free of restrictions on transfer other than the restrictions set forth in Appendix C to this Agreement and Securities Restrictions.

  • As a result, the Lender acknowledges and agrees that Redelivery may be delayed until such time as the Securities Restrictions have been met and that this Agreement shall remain in place until such time as the Securities Restrictions have met and the Loaned Securities have been Redelivered.


More Definitions of Securities Restrictions

Securities Restrictions means the securities Laws restrictions, and the transfer restrictions and obligations, voting proxy, right of first refusal and repurchase option under Articles V, VI and VII.
Sample 1

Related to Securities Restrictions

  • Ownership Restrictions means collectively the Ownership Limit as applied to Persons other than the Initial Holder or Look-Through Entities, the Initial Holder Limit as applied to the Initial Holder and the Look-Through Ownership Limit as applied to Look-Through Entities.

  • SEC Restrictions has the meaning set forth in Section 2(b).

  • Investment Restrictions means the investment restrictions of the Fund as set forth in the Declaration of Trust including, without limitation, those described in section 2.0 of this Annual Information Form.

  • Put Restriction means the days between the beginning of the Pricing Period and Closing Date. During this time, the Company shall not be entitled to deliver another Put Notice.

  • Dealing Restrictions means restrictions imposed by statute, order, regulation or Government directive, or by the Model Code or any code adopted by the Company based on the Model Code and for this purpose the Model Code means the Model Code on dealings in securities set out in Listing Rule 9, annex 1 (of the London Stock Exchange), as varied from time to time;

  • Transfer Restrictions means restrictions that prohibit the sale, exchange, transfer, assignment, pledge, hypothecation, fractionalization, hedge or other disposal (including through the use of any cash-settled instrument), whether voluntarily or involuntarily by the Grantee, of an Award or any shares of Common Stock, cash or other property delivered in respect of an Award.

  • Transfer Restriction means any condition to or restriction on the ability of the Subscriber to pledge, sell, assign or otherwise transfer the Shares under any organizational document, policy or agreement of, by or with the Company, but excluding the restrictions on transfer described in paragraph 6(c) of this Subscription Agreement with respect to the status of the Shares as “restricted securities” pending their registration for resale or transfer under the Securities Act in accordance with applicable securities laws.

  • Deed Restrictions means the deed restrictions to be recorded with respect to the Land, which deed restrictions shall be subject to the Director's approval and shall be commensurate with the nature and purpose of the Land as stated in the Recipient's application for grant funds under Revised Code Sections 164.20 through 164.27. The Deed Restrictions shall be perpetual and shall not be amended, released, extinguished or otherwise modified without the prior written approval of the Director, in the Director's sole discretion, who shall have full enforcement authority, as set forth more specifically in Section IX of this Agreement.

  • Company Restricted Shares Section 2.4(c)

  • Restrictions means the restrictions on sale or other transfer set forth in Section 4.2 and the exposure to forfeiture set forth in Section 3.1.

  • Existing Transfer Restrictions means Transfer Restrictions existing with respect to any securities by virtue of the fact that Counterparty may be an “affiliate” of the Issuer (as such term is defined in Rule 144 under the Securities Act).

  • Internal lot restriction means a platted note, platted demarcation, or platted designation that:

  • Forfeiture Restrictions means any prohibitions and restrictions set forth herein with respect to the sale or other disposition of Shares issued to the Recipient hereunder and the obligation to forfeit and surrender such shares to the Company.

  • Transfer Restricted Securities means Securities that bear or are required to bear the legend set forth in Section 2.3(b) hereto.

  • Payment Restriction has the meaning set forth in Section 4.14.

  • Transfer Restriction Event shall have the meaning specified in Section 2.11.

  • Private Restrictions means (as they may exist from time to time) any and all covenants, conditions and restrictions, private agreements, easements, and any other recorded documents or instruments affecting the use of the Property, the Building, the Leased Premises, or the Outside Areas.

  • Restricted Securities Legend has the meaning set forth in Section 8.2(b).

  • Company Restricted Stock means all shares of Company Common Stock, subject to vesting or other restrictions, whether granted pursuant to the Company Stock Plans or otherwise.

  • Restricted List Securities means the list of securities that are provided to the Compliance Department by Invesco Ltd. or investment departments, which include those securities that are restricted from purchase or sale by Client or Employee accounts for various reasons (e.g., large concentrated ownership positions that may trigger reporting or other securities regulatory issues, or possession of material, non-public information, or existence of corporate transaction in the issuer involving an Invesco Ltd. unit).

  • Securities Lending Agreement means an agreement under which a local agency agrees to transfer securities to a borrower who, in turn, agrees to provide collateral to the local agency. During the term of the agreement, both the securities and the collateral are held by a third party. At the conclusion of the agreement, the securities are transferred back to the local agency in return for the collateral.

  • Restricted Stock Legend means, with respect to any Conversion Share, a legend substantially to the effect that the offer and sale of such Conversion Share have not been registered under the Securities Act and that such Conversion Share cannot be sold or otherwise transferred except pursuant to a transaction that is registered under the Securities Act or that is exempt from, or not subject to, the registration requirements of the Securities Act.

  • Company Restricted Share means each restricted share of Company Common Stock outstanding as of the Effective Time granted pursuant to any equity or compensation plan or arrangement of the Company.

  • Transfer-Restricted Security means any Security that constitutes a “restricted security” (as defined in Rule 144); provided, however, that such Security will cease to be a Transfer-Restricted Security upon the earliest to occur of the following events:

  • Non-transferability means the occurrence of any event that makes it impossible for the Issuer to deliver Renminbi between accounts inside Hong Kong or from an account inside Hong Kong to an account outside Hong Kong, other than where such impossibility is due solely to the failure of the Issuer to comply with any law, rule or regulation enacted by any Governmental Authority (unless such law, rule or regulation is enacted after the Issue Date and it is impossible for the Issuer, due to an event beyond its control, to comply with such law, rule or regulation).

  • RMB Non-Transferability means the occurrence of any event that makes it impossible for the Issuer to deliver RMB between accounts inside Hong Kong or from an account inside Hong Kong to an account outside Hong Kong (including where the RMB clearing and settlement system for participating banks in Hong Kong is disrupted or suspended), other than where such impossibility is due solely to the failure of the Issuer to comply with any law, rule or regulation enacted by any Governmental Authority (unless such law, rule or regulation is enacted after the Issue Date of the first Tranche of the relevant Series and it is impossible for the Issuer due to an event beyond its control, to comply with such law, rule or regulation);