Stock Loan Transactions definition

Stock Loan Transactions means any transaction, including any transaction facilitated by a prime broker, agent lender, or other Person, in which a holder of a stock temporarily lends the stock in exchange for collateral or in which a borrower of a stock provides collateral to temporarily borrow a stock, and in which the stock is ultimately returned to the lender at a later date, at which time the lender returns the collateral to the borrower. For the avoidance of doubt, “Stock Loan Transactions” include the facilitation of short positions, but do not include non-equity securities lending or stock repurchase (repo) transactions.
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Examples of Stock Loan Transactions in a sentence

  • The proposed changes to this section would not result in any change in the actual amounts charged for the relevant fees.Revise Fee Name for Fees for Stock Loan Transactions Pursuant to the proposed rule change, the fee named “Stock loans and returns” would be renamed as “Repos, Stock loans and returns.” The amount of this fee is 18 cents per receive or delivery and would not change.

  • Pursuant to Rule 23 of the Federal Rules of Civil Procedure, the Court preliminarily certifies, solely for settlement purposes, a Settlement Class defined as follows: all Persons who, directly or through an agent, entered into Stock Loan Transactions with the Prime Broker Defendants, direct or indirect parents, subsidiaries, or divisions of the Prime Broker Defendants in the United States from January 7, 2009 through the Execution Date (the “Settlement Class Period”), inclusive.

  • The Credit Suisse Settlement Agreement is made on behalf of a proposed Settlement Class defined as:[A]ll Persons or entities who, directly or through an agent, entered into Stock Loan Transactions with the Prime Broker Defendants, direct or indirect parents, subsidiaries, or divisions of the Prime Broker Defendants, or the Released Credit Suisse Parties, in the United States from January 7, 2009 through the Execution Date (the “Settlement Class Period”), inclusive.3SA ¶ 1.40.

  • The “Beneficial Owner Subclass”: All persons and entities within the class who, directly or through an agent, entered into at least 100 U.S. Stock Loan Transactions as a lender of Hard-to-Borrow stock to the U.S.-based entities of the Prime Broker Defendants during the Class Period.

  • The continuing trend is towards increasing center pivot sprinkler utilization, primarily for economic advantages through savings of labor and associated costs, water conservation, and management capability.While substantial research has been conducted with center pivot systems, all is not known regarding design and management potential with the units.

  • Until the release is executed, the Controllers are of a view it is prudent to provide for the profit/commission earned by the Company as a potential liability.Further Stock Loan Transactions 5.18 Taking into account the potential liability that may arise from the 2015 Share Loan Transaction, the Controllers sought to verify if any other stock loan transactions took place and whether the Company also used client funds, without their authority, in those circumstances.

  • The Hercule III Regulation provides for three types of action: Technical Assistance (at least 70 % of the budget), Training (max: 25 % of the budget) and Other Actions (max: 5 % of the budget).

  • Plaintiffs contend that they have avoided the FTAIA’s limitations by limiting the Proposed Class to “United States Stock Loan Transactions, defined as transactions in U.S. Stock conductedwith U.S.-based entities of the Prime Broker Defendants.” (ECF No. 412 at 53).

  • The following table lists the names, positions and ages of the Senior Managers: NameAgePositionKevin Royal55Sales DirectorGary Kemp53Logistics DirectorSacha Beere48Operations DirectorMarie Liston41HR Director The business address of each of the Senior Managers is 45-49 Villiers Street, Sunderland, Tyne & Wear SR1 1HA.

  • The “Beneficial Owner Subclass”: All persons and entities within the class who, directly or through an agent, entered into at least 100 U.S. Stock Loan Transactions as a lender of Hard-to-Borrow stock to the U.S-based entities of the Prime Broker Defendants during the Class Period.

Related to Stock Loan Transactions

  • Permitted Securitization Transaction Any financing transaction undertaken by the Seller or an Affiliate of the Seller that is secured, directly or indirectly, by the Collateral or any portion thereof or any interest therein, including any sale, lease, whole loan sale, asset securitization, secured loan or other transfer.

  • Hedging Transactions means any transactions or assets the Issuer or any of its affiliates (in the meaning of § 1 paragraph 7 German Banking Act (KWG), § 290 paragraph 2 German Commercial Law (HGB)) may have entered into or purchased in order to hedge the risk of entering into and performing its obligations with respect to the Certificates.

  • Roll-Up Transaction means a transaction involving the acquisition, merger, conversion or consolidation either directly or indirectly of the Company and the issuance of securities of a Roll-Up Entity to the holders of Common Shares. Such term does not include:

  • Hedging Transaction of any Person shall mean (a) any transaction (including an agreement with respect to any such transaction) now existing or hereafter entered into by such Person that is a rate swap transaction, swap option, basis swap, forward rate transaction, commodity swap, commodity option, equity or equity index swap or option, bond option, interest rate option, foreign exchange transaction, cap transaction, floor transaction, collar transaction, currency swap transaction, cross-currency rate swap transaction, currency option, spot transaction, credit protection transaction, credit swap, credit default swap, credit default option, total return swap, credit spread transaction, repurchase transaction, reverse repurchase transaction, buy/sell-back transaction, securities lending transaction, or any other similar transaction (including any option with respect to any of these transactions) or any combination thereof, whether or not any such transaction is governed by or subject to any master agreement and (b) any and all transactions of any kind, and the related confirmations, which are subject to the terms and conditions of, or governed by, any form of master agreement published by the International Swaps and Derivatives Association, Inc., any International Foreign Exchange Master Agreement, or any other master agreement (any such master agreement, together with any related schedules, a “Master Agreement”), including any such obligations or liabilities under any Master Agreement.

  • Acquisition Transaction means any transaction or series of transactions involving:

  • Equity Transaction means, with respect to any member of the Consolidated Parties, any issuance or sale of shares of its Capital Stock, other than an issuance (a) to a Consolidated Party, (b) in connection with a conversion of debt securities to equity, (c) in connection with the exercise by a present or former employee, officer or director under a stock incentive plan, stock option plan or other equity‑based compensation plan or arrangement, or (d) in connection with any acquisition permitted hereunder.

  • Refinancing Transactions means the issuance and sale of the Notes pursuant to the Offering Memorandum, the incurrence of indebtedness on or about the Issue Date pursuant to any Credit Agreement and/or the repricing, refinancing, amendment, restatement or supplement, in whole or in part, of any Credit Agreement and the redemption (including any satisfaction and discharge in connection therewith) of all of the Company’s outstanding 7.875% Senior Notes due 2019 and the payment of fees and expenses in connection therewith.