Sentences with phrase «equity securities with»

With the acquisition, DB Real Estate is the world's largest advisor of real estate property and equity securities with more than $ 36 million in assets under management.

Companies with total assets above $ 10 million and more than 2,000 holders of record of its equity securities, or 500 holders of record of its equity securities who are not accredited investors, must register that class of equity securities with the SEC under the Exchange Act.

The Fund normally invests 50 % -70 % of its total assets in well - established, large cap equity securities with market capitalization sizes of greater than $ 5 billion.

The fund will invest primarily in global equity securities with an emphasis on companies that the fund «s management believes have attractive dividend policies and / or those with the potential to grow their dividends.

The Wilshire 5000 Total Market Index (Wilshire 5000) measures the performance of all U.S. equity securities with readily available price data.

TACP applies TSSP's deep fundamental research approach, developed across market cycles, to stressed, distressed, and special situation debt and equity securities with an acute focus on downside protection and favorably skewed risk - reward profiles.

Not exact matches

Stengel is joined on stage by Doug Ellenoff, a corporate and securities attorney with a specialty in business transactions and corporate financing who has been actively involved in working with federal government agencies as the rules are being rewritten, and Pelli Wang (on the right end of the couch), the venture director at SeedInvest, a leading equity crowdfunding platform and early - stage VC fund.

««Overall, the company is trying to prudently manage their cash and their liquidity position, while they have the pressure of two major aerospace programs on the go that are both going to see material delays,» says Scott Rattee, an equity analyst with Stonecap Securities.

And in the midst of its troubles throughout 2014 — Levi stepped back as president and CEO to become executive chairman in November — GrowthWorks was the recipient, along with BDC Venture Capital, of the «Deal of the Year» award from Canada's Venture Capital & Private Equity Association following its sale of Layer 7 Technologies, a developer of security software for businesses.

American Securities has acquired Learning Care Group Inc., the second - largest child care center operator in North America with more than 900 locations, from Morgan Stanley Private Equity.

«In soliciting investments in the Fake Funds, CASPERSEN made the following false representations to investors, among others: in recognition for his prior work with Park Hill Group, CASPERSEN had been offered a «friends and family» investment allocation in a security that was allegedly offered by a private equity firm; CASPERSEN was personally investing in the security, and offering it to his family and a limited number of friends; the investment was a credit facility secured by a portfolio of assets owned by one of the Legitimate Funds; the investor would receive quarterly interest payments, ranging from 15 to 20 percent; the investment was practically risk - free, as the loaned funds would remain in a bank account; the investor could withdraw the principal at any time with 90 days» notice; and investor funds should be wired to one of the Fake Fund Accounts.

The U.S. Securities and Exchange Commission is examining how private equity firms report a key metric of their past performance when they market new funds to investors, as the regulator boosts its scrutiny of the industry, according to people familiar with the matter.

Of course, the Securities and Exchange Commission frowns on companies offering equity to the public without filing with the government to do so, so when it comes to crowdfunding backers always get something other than equity.

«We have the opportunity here to start from scratch with issuers that are prepared to basically bypass the traditional paper - stock - certificate system and move to these equity securities tokens,» he said in an interview.

The electric carmaker plans to raise money through either an equity or debt offering, it said in a registration statement filed with the U.S. Securities and Exchange Commission.

Crain's New York Business has reported that a «senior» private equity insider filed a compliant with the Securities and Exchange Commission earlier this year about the so - called transaction fees that PE firms often charge when they buy a company.

Canopy Growth Corp's (WEED.TO) Tweed Farms Inc subsidiary expects to spend at least C$ 25 million ($ 21 million) to upgrade the property, a flower farm it purchased for about C$ 9 million in cash and equity, with work including the installation of security cameras and fences due to start in October.

Bob also is a seasoned trial lawyer with a very active litigation practice and decades of experience covering a number of areas including employment, commercial disputes, private equity, financial services, insurance, securities, real estate, sports law, and banking.

The remarks frustrated a number of individuals currently working with the Securities and Exchange Commission to make equity crowdfunding a reality for regular investors.

In summary, debt investments can provide investors with current income and security not afforded to equity investors.

Another early morning in Vancouver, BC and a meeting starts with a full house of equity crowdfunding industry participants including entrepreneurs, lawyers, investors, securities regulators, government, tech and finance executives who want to make sure this city keeps its crown as the entrepreneur and tech startup capital of Canada.

The Reporting Persons may, from time to time and at any time: (i) acquire additional Shares and / or other equity, debt, notes, instruments or other securities (collectively, «Securities») of the Issuer (or its affiliates) in the open market or otherwise; (ii) dispose of any or all of their Securities in the open market or otherwise; or (iii) engage in any hedging or similar transactions with respect to the Ssecurities (collectively, «Securities») of the Issuer (or its affiliates) in the open market or otherwise; (ii) dispose of any or all of their Securities in the open market or otherwise; or (iii) engage in any hedging or similar transactions with respect to the SSecurities») of the Issuer (or its affiliates) in the open market or otherwise; (ii) dispose of any or all of their Securities in the open market or otherwise; or (iii) engage in any hedging or similar transactions with respect to the SSecurities in the open market or otherwise; or (iii) engage in any hedging or similar transactions with respect to the SecuritiesSecurities.

Dell has also been speaking to private equity firms about selling Quest Software, which helps with information technology management, as well as SonicWall, an e-mail encryption and data security provider.

The changes to the Canadian securities laws if adopted would allow the general public to invest in equity crowdfunding online, and companies to offer small amounts of equity with less disclosure thus driving the cost of raising capital lower and widening participation at the same time.

My point was and is that the equity risk premium is bundled up closely with the nature of the security itself (i.e., being a publicly traded, relatively liquid investment asset called an equity, that has a very specific bundle of rights and risks attached to it), which has very different characteristics than the many other financial assets available in the economy (many of which have bundles of risk that are perceived as «riskier», and many of which are perceived as «less risky»).

From 2001 to 2005, Ms. Peluso was an Associate with Chadbourne & Parke LLP in New York where her practice focused on representing private equity clients in M&A and securities and general corporate matters.

Our team consists of investment professionals with expertise across a broad range of disciplines — distressed securities and assets, control and non-control private equity investing, commercial mid-market lending and real estate - related investments.

The team works with clients across several product lines, including private equity placements, PIPEs, initial public offerings, follow - on offerings, registered directs, convertible securities, exchangeables and M&A transactions.

Cash alternatives, such as money market funds, typically offer lower rates of return than longer - term equity or fixed - income securities and may not keep pace with inflation over extended periods of time.

Its strategy is focused on undervalued mid - and large - cap equity securities, with a significant portion of its assets in foreign securities and, to a lesser extent, distressed securities and merger arbitrage.

NexPoint Strategic Opportunities Fund (NHF) is a closed end fund that seeks current income with capital appreciation through investment in floating and fixed rate loans, bonds, debt obligations, mortgage backed and asset backed securities, collateralized debt obligations and equities.

(e) Unilaterally recharacterizing a $ 900,000 investment that a MSMB Fund made in equity securities of Retrophin as a «loan,» causing Retrophin to pay off that «loan» with

HONG KONG (Reuters)- Private equity firm Carlyle Group is planning a sale of South Korean security systems company ADT Caps in what could be the country's biggest M&A deal in two years, sources with knowledge of the matter said.

NexPoint Strategic Opportunity Fund (NHF) is a closed end fund that seeks current income with capital appreciation through investment in floating and fixed rate loans, bonds, debt obligations, mortgage backed and asset backed securities, collateralized debt obligations and equities.

Shkreli funded the Merrill Lynch settlement — and avoided the filing of the confessions of judgment — by causing a $ 900,000 investment in Retrophin equity securities made by MSMB Healthcare to be recharacterized as a «loan,» causing the «loan» to be repaid with interest, and using the «loan» proceeds together with other money taken from Retrophin to pay Merrill Lynch.

Robert has more than 20 years» institutional capital markets experience with a background in convertible securities, equity and fixed income cash and derivative products and structured products.

The investments are subject to the volatility of the financial markets, including that of equity and fixed income investments in the U.S. and abroad, and may be subject to risks associated with investing in high - yield, small - cap, and foreign securities.

Through our market relationships, we were able to take advantage by investing in the preferred equity of a couple of midstream companies, gaining what we believed to be strong downside protection through the security along with significant equity upside.

Mathrani would receive $ 42.1 million in restricted stock and equity through GGP's incentive plan when the deal closes, and $ 7.1 million in cash if he's terminated within the next two years, according to a filing with the Securities & Exchange Commission reported by Crain's.

The fair value of our common stock has been determined in accordance with applicable elements of the practice aid issued by the American Institute of Certified Public Accountants, Valuation of Privately Held Company Equity Securities Issued as Compensation.

You acknowledge and agree that you have significant experience investing in investments of the type offered through the Site, including, without limitation, real estate, equities, notes and other securities, you understand that all of the investments offered through the Service are inherently very risky, and you understand the risks associated with the investments offered through the Site, and you are comfortable with the risk of losing your entire investment invested through the Service.

Jason Saltzman is a partner in Gowling WLG (Canada) LLP's Toronto office practising in corporate finance and securities law, with an emphasis on securities offerings, mergers and acquisitions, private equity and venture capital transactions and regulatory compliance matters.

the disposition of shares of common stock to us, or the withholding of shares of common stock by us, in a transaction exempt from Section 16 (b) of the Exchange Act solely in connection with the payment of taxes due with respect to the vesting or settlement of RSUs granted under our equity incentive plans or pursuant to a contractual employment arrangement described elsewhere in this prospectus, insofar as such RSU is outstanding as of the date of this prospectus; provided, that, if required, any public report or filing under Section 16 of the Exchange Act will clearly indicate in the footnotes thereto that such disposition to us or withholding by us of shares or securities was solely to us pursuant to the circumstances described in this clause;

Given the absence of a public trading market of our common stock, and in accordance with the American Institute of Certified Public Accountants Accounting and Valuation Guide, Valuation of Privately - Held Company Equity Securities Issued as Compensation, our board of directors exercised reasonable judgment and considered numerous and subjective factors to determine the best estimate of fair value of our common stock, including independent third - party valuations of our common stock; the prices at which we sold shares of our convertible preferred stock to outside investors in arms - length transactions; the rights, preferences, and privileges of our convertible preferred stock relative to those of our common stock; our operating results, financial position, and capital resources; current business conditions and projections; the lack of marketability of our common stock; the hiring of key personnel and the experience of our management; the introduction of new products; our stage of development and material risks related to our business; the fact that the option grants involve illiquid securities in a private company; the likelihood of achieving a liquidity event, such as an initial public offering or a sale of our company given the prevailing market conditions and the nature and history of our business; industry trends and competitive environment; trends in consumer spending, including consumer confidence; and overall economic indicators, including gross domestic product, employment, inflation and interest rates, and the general economiSecurities Issued as Compensation, our board of directors exercised reasonable judgment and considered numerous and subjective factors to determine the best estimate of fair value of our common stock, including independent third - party valuations of our common stock; the prices at which we sold shares of our convertible preferred stock to outside investors in arms - length transactions; the rights, preferences, and privileges of our convertible preferred stock relative to those of our common stock; our operating results, financial position, and capital resources; current business conditions and projections; the lack of marketability of our common stock; the hiring of key personnel and the experience of our management; the introduction of new products; our stage of development and material risks related to our business; the fact that the option grants involve illiquid securities in a private company; the likelihood of achieving a liquidity event, such as an initial public offering or a sale of our company given the prevailing market conditions and the nature and history of our business; industry trends and competitive environment; trends in consumer spending, including consumer confidence; and overall economic indicators, including gross domestic product, employment, inflation and interest rates, and the general economisecurities in a private company; the likelihood of achieving a liquidity event, such as an initial public offering or a sale of our company given the prevailing market conditions and the nature and history of our business; industry trends and competitive environment; trends in consumer spending, including consumer confidence; and overall economic indicators, including gross domestic product, employment, inflation and interest rates, and the general economic outlook.

He represents issuers and underwriters in public and private initial and follow - on offerings of equity and debt securities, banks and hedge funds in secondary market par and distressed debt trading, and sponsors of and liquidity providers to securitization vehicles in connection with transactions and regulation applicable to their activities.

This is not to say that Kickstarter is not concerned with the security of its backers, since all projects are screened rigorously before being eligible for funding, but that when it comes to a more long - term relationship between investor and entrepreneur, heightened regulation for equity crowdfunding is necessary.

Section 16 (a) of the Securities Exchange Act of 1934 requires the Corporation's officers and directors, and persons who own more than 10 % of a registered class of the Corporation's equity securities, to file reports of ownership and changes in ownership with the Securities and Exchange Commission and the New York StockSecurities Exchange Act of 1934 requires the Corporation's officers and directors, and persons who own more than 10 % of a registered class of the Corporation's equity securities, to file reports of ownership and changes in ownership with the Securities and Exchange Commission and the New York Stocksecurities, to file reports of ownership and changes in ownership with the Securities and Exchange Commission and the New York StockSecurities and Exchange Commission and the New York Stock Exchange.

«China could be forced to devalue the yuan even more, should its economy falter, and the equity markets are dealing with the prospect of a weaker yuan amplifying the negative impact from a sluggish Chinese economy,» said Eiji Kinouchi, chief technical analyst at Daiwa Securities in Tokyo.

Section 16 (a) of the Exchange Act requires the Company's officers and directors, and persons who own more than ten percent of a registered class of the Company's equity securities, to file reports of securities ownership and changes in such ownership with the SEC.

Over the course of his career, Mr. Kaushal has worked in senior roles with a number of Canadian investment banks, including Desjardins Securities Inc., Orion Securities Inc., Vengate Capital Partners Company, HSBC Securities Inc., Medwell Capital Corp. and Gordon Capital, and has held various roles within the private equity / venture capital industry.