Security Held or to be Acquired by the Fund definition

Security Held or to be Acquired by the Fund means any Covered Security, which, within the most recent 15 days: (a) is being held by the Fund; or (b) is being or has been considered by the Fund or its investment adviser for purchase by the Fund, and any option to purchase or sell, and any security convertible into or exchangeable for, a Covered Security.

Security Held or to be Acquired by the Fund means (A) any Reportable Security which, within the most recent 15 days, (i) is or has been held by the Fund, or (ii) is being or has been considered by the Fund or the Adviser for purchase by the Fund, or (B) any option to purchase or sell, and any Security convertible into or exchangeable for, a Reportable Security described above in clause (A) of this definition. Acknowledgement of Receipt of the Fund Code of Ethics

Security Held or to be Acquired by the Fund means any Security which, within the most recent fifteen (15) days (i) is or has been held by the Fund, or (ii) is being or has been considered by the Fund or its Investment Adviser for purchase by the Fund, and any option to purchase or sell, and any security convertible into or exchangeable for a Security that is or has been held by the Fund or is or has been considered by the Fund or its Investment Adviser for purchase by the Fund.

Examples of Security Held or to be Acquired by the Fund in a sentence

• Therefore, it is absolutely prohibited for any Access Person to engage in Personal Trading in a Security that the Access Person knows or should know is a "Security Held or to be Acquired" by the Fund or other advisory client of an Aquila Entity.

• In addition, no director, officer or employee of the Fund or the Adviser shall make an untrue statement of a material fact to the Fund or the Adviser with respect to a Security Held or to be Acquired by the Fund or an Account, or omit to state a material fact necessary in order to make the statements made to the Fund or the Adviser, in light of the circumstances under which they are made, not misleading.

• No director, officer or employee of the Fund or the Adviser shall engage in any conduct or trading activity with respect to a Security Held or to be Acquired by the Fund or an Account if that conduct would operate as a fraud on the Fund or such Account, or be (or appear to be) a manipulative practice with respect to the Fund or an Account.

• Access Persons are prohibited from directly or indirectly using any act, device, scheme, artifice, practice or course of conduct to defraud, mislead or manipulate the Fund in connection with the Purchase or Sale of a Security Held or to be Acquired by the Fund.

• Fund Relations: o Do not defraud, mislead or manipulate the Fund in connection with the Purchase or Sale of a Security Held or to be Acquired by the Fund.

• Security Held or to be Acquired by the Fund means any Security which, within the past 15 days: (i) is or has been held by the Fund or (ii) is being or has been considered by the Fund for purchase by the Fund.

• The Keewatin Railway Company—Canada’s first First-Nations-owned railway company—operates a route of 185 miles from Sherritt Junction (near Flin Flon) to Pukatawagan.

• Rule 17j-1 (the “Rule”) under the Investment Company Act of 1940, as amended (the “Investment Company Act”), requires ABS Long/Short Strategies Fund (the “Fund”) to adopt a written Code of Ethics containing provisions reasonably necessary to prevent its Access Persons (defined below) from engaging in fraudulent conduct in connection with the purchase or sale, directly or indirectly, of a Security Held or to be Acquired by the Fund.

More Definitions of Security Held or to be Acquired by the Fund

Security Held or to be Acquired by the Fund means (A) any Reportable Security which, within the most recent 15 days, (i) is or has been held by the applicable Fund, or (ii) is being or has been considered by the applicable Fund or the applicable Fund Adviser for purchase by the applicable Fund, or (B) any option to purchase or sell, and any Security convertible into or exchangeable for, a Reportable Security described above in clause (A) of this definition.

Security Held or to be Acquired by the Fund means: (i) any Covered Security which, within the most recent 15 days: (A) is or has been held by a Portfolio of the Fund; or (B) is being or has been considered by the Fund or World for purchase by a Portfolio of the Fund; and (ii) any option to purchase or sell, and any security convertible into or exchangeable for, a Covered Security.

Security Held or to be Acquired by the Fund means (i) Any Covered Security which, within the most recent 15 days: (A) is or has been held by a Fund; or (B) is being or has been considered by the Fund or the Adviser for purchase by the Fund; and (ii) any option to purchase or sell, and any security convertible into or exchangeable for, a Covered Security described in part (i) of this paragraph.Advisory Person of a Fund or the Adviser must obtain approval from a Fund or the Adviser before directly or indirectly acquiring Beneficial Ownership in any securities in an Initial Public Offering or in a Limited Offering.

Security Held or to be Acquired by the Fund means: (i) any Security which, in the most recent 15 days, (a) is or has been held by the Fund; or (b) is being considered by the Fund or the Adviser for purchase or sale by the Fund; and (ii) any option to purchase or sell, and any security convertible into, a Security described in Section II.H(i) above.

Security Held or to be Acquired by the Fund means

Security Held or to be Acquired by the Fund means (i) any Covered Security which, within the most recent 15 days: (A) is or has been held by either Fund; or (B) is being or has been considered by either Fund or the Adviser for purchase by either Fund; and (ii) any option to purchase or sell, and any security convertible into or exchangeable for, a Covered Security described in clause (i) above.