Sentences with phrase «other equity securities»

The Fund may also invest up to 30 % of its net asset value in dividend - paying and other equity securities of non-Canadian issuers.

For example, an adverse event, such as an unfavorable earnings report, may depress the value of equity securities of an issuer held by the Fund; the price of common stock of an issuer may be particularly sensitive to general movements in the stock market; or a drop in the stock market may depress the price of most or all of the common stocks and other equity securities held by the Fund.

It holds short - term liquid securities such as money market funds, U.S. Treasury securities, government agency securities or other equity securities for liquidity purposes and to cover its obligation to purchase securities subject to short sales in the future.

Risks Related to Other Equity Securities — In addition to common stocks, the equity securities in the Fund's portfolio may include preferred stock and convertible securities.

The fund will invest primarily in common stocks and other equity securities.

Not exact matches

«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.

Among other things, the Global Portfolio invests in assets such as listed equities, debt securities, money market instruments, real estate, commodities, cash and financial derivative instruments.

Amir Anvarzadeh, director of Japan Equity Sales, BGC Securities (Singapore), said he is shorting Toshiba because after the sale of its chip unit, the other businesses generally lag the market.

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.

Non-GAAP net income and non-GAAP diluted earnings per share exclude acquisition - related, stock - based compensation and other expenses, and unrealized gains from marketable equity securities.

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.

Securities work and other investment banking services (including Mergers & Acquisition advisory and equity capital raising and placement) are provided through this entity.

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»).

If we raise additional funds through further issuances of equity, convertible debt securities, or other securities convertible into equity, our existing stockholders could suffer significant dilution in their percentage ownership of our company, and any new equity securities we issue could have rights, preferences, and privileges senior to those of holders of our Class A common stock.

Currently, both Ontario and Saskatchewan have published specific proposals for an equity Crowdfunding framework while other members of the Canadian Securities Administrators are also looking at how securities can be sold over the internet under existing securSecurities Administrators are also looking at how securities can be sold over the internet under existing secursecurities can be sold over the internet under existing securitiessecurities law.

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.

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.

in the case of our directors, officers, and security holders, (i) the receipt by the locked - up party from us of shares of Class A common stock or Class B common stock upon (A) the exercise or settlement of stock options or RSUs granted under a stock incentive plan or other equity award plan described in this prospectus or (B) the exercise of warrants outstanding and which are described in this prospectus, or (ii) the transfer of shares of Class A common stock, Class B common stock, or any securities convertible into Class A common stock or Class B common stock upon a vesting or settlement event of our securities or upon the exercise of options or warrants to purchase our securities on a «cashless» or «net exercise» basis to the extent permitted by the instruments representing such options or warrants (and any transfer to us necessary to generate such amount of cash needed for the payment of taxes, including estimated taxes, due as a result of such vesting or exercise whether by means of a «net settlement» or otherwise) so long as such «cashless exercise» or «net exercise» is effected solely by the surrender of outstanding stock options or warrants (or the Class A common stock or Class B common stock issuable upon the exercise thereof) to us and our cancellation of all or a portion thereof to pay the exercise price or withholding tax and remittance obligations, provided that in the case of (i), the shares received upon such exercise or settlement are subject to the restrictions set forth above, and provided further that in the case of (ii), any filings under Section 16 (a) of the Exchange Act, or any other public filing or disclosure of such transfer by or on behalf of the locked - up party, shall clearly indicate in the footnotes thereto that such transfer of shares or securities was solely to us pursuant to the circumstances described in this bullet point;

Additionally, alternative investments historically have lower correlations to traditional assets like equities and fixed - income securities than some other asset classes do.

Under normal market conditions, the Fund invests principally in equity securities of companies that derive a majority of their revenues or profits from, or have a majority of their assets in, a country or countries other than the U.S..

Crowdfunding (alternately investment crowdfunding, securities crowdfunding, crowdinvesting, crowd financing, debt crowdfunding, crowdlending or equity crowdfunding) describes the collective effort of individuals who network and pool their resources, usually via the Internet, to support efforts initiated by other people or organizations.

Equity securities in privately held companies include cost basis and equity method investments and are included in Long - term financing receivables and other assets in the Condensed Combined Balance SEquity securities in privately held companies include cost basis and equity method investments and are included in Long - term financing receivables and other assets in the Condensed Combined Balance Sequity method investments and are included in Long - term financing receivables and other assets in the Condensed Combined Balance Sheets.

Entrepreneurs can also conduct equity crowdfunding campaigns in Canada relying on other exemptions from the prospectus and registration requirements of Canadian securities laws such as the accredited investor exemption, and offering memorandum exemption (both exemptions available across Canada).

the authorization or issuance of any of our equity securities, other than pursuant to equity incentive plans or arrangements approved by the board of directors;

Andrew Bowden, director of the Securities and Exchange Commission's examinations office, has drawn scrutiny over comments he made March 5 at a conference for private equity firms and other investors.

Equity crowdfunding involves the issuance of securities whereas the other forms of crowdfunding do not.

They bought enormous amounts of mortgages and other debt instruments, and they drove down interest rates to virtually zero to ensure that the large investment banks and financial institutions survived — forcing retail investors to participate in high - risk securities such as equities and corporate debt instead of stashing their money in banks.

In a difficult year for emerging markets securities, DBS raised $ 4.2 billion in 48 bonds, a higher value than any other bank in Singapore, and raised another $ 1.3 billion in 14 equity deals last year.

Potential risks and uncertainties include the availability of acceptable bank debt financing; the availability of acceptable additional equity investors; delays or interruptions in construction of power plants; the timely availability of required permits and authorizations for projects from governmental entities and third parties; changes in applicable regulatory requirements and incentives for production of solar power; and other risks described in the company's filings with the Securities and Exchange Commission.

Managers employ a variety of fundamental and quantitative techniques to establish investment theses, and security types range broadly across equity, fixed income, derivative, or other security types.

This collateral (i.e., permissible vehicles investments) may include: (i) match - funded assets, and, (ii) debt securities, equity securities and other financial instruments issued or guaranteed by the US government or its agencies, sovereign governments, supra - national entities, corporations, financial institutions and asset - backed or mortgage - backed issuers that are the subject of credit support agreements.

Some securities are traded on exchanges and others traded privately there are several stock exchanges in the equity market (stock market).

Pure Trading is a facility of CNSX and was the first visible alternative market system for the trading of equity securities listed on other exchanges.

To provide superior long - term investment returns by investing in a diversified portfolio of Canadian common shares, convertible debentures and other equity related securities.

The prospect that financial services could be caught up in the disruptive innovation that has shaken up many other industries moved a step closer after the Australian Securities Exchange (ASX) announced it would start to use blockchain technology in its equities clearing and settlement systems.

[Subordination: The Note shall be subordinated to all indebtedness of the Company to banks, commercial finance lenders, insurance companies, [leasing or equipment financing institutions] or other lending institutions regularly engaged in the business of lending money -LSB-(excluding venture capital, investment banking or similar institutions which sometimes engage in lending activities but which are primarily engaged in investments in equity securities)-RSB-, which is for money borrowed, [or purchase or leasing of equipment in the case of lease or other equipment financing,] whether or not secured.]

Known as the other financial instrument such a debt and equity, it a combination with the embedded derivative to create a new hybrid security.

To provide investors with a source of monthly income, with the potential for long - term growth through capital appreciation and growth in dividends by investing primarily in common shares, convertible debentures and other equity related securities of U.S. issuers.

Mr. Giuffre has advised on securities and stock exchange and regulatory matters, public offerings, joint venture transactions, debt and equity financing, mergers and corporate reorganizations, purchase and sale arrangements, corporate governance matters and various other complex commercial matters.

However, it may be possible to conceive of contemporaneous offerings if the issuer offered different securities, such as a non-convertible preferred stock in one offering and common stock in the other offering, and if the investors in the two offerings were different — for example, preferred stock being offered to an existing venture or private equity investor (or other investors with which the issuer has a pre-existing substantive relationship), while common stock is being offered to a broader range of investors in a separate offering using general solicitation.

If the proposed treaty is adopted, all its signatories would be obliged to grant unfettered access to foreign investment with 100 % equity in all sectors of the economy (other than those relating to security).

In setting your initial withdrawal rate, you'll also want to consider how much of your expenses you can cover from Social Security and any pensions, what other resources you have to draw on (home equity, income from an annuity, cash value life insurance, income from a part - time job) and how much of your retirement spending goes to essential expenses that you would have a hard time trimming vs. discretionary items that leave you with a lot more leeway cutting back should you need to in the future.

Assets in interval funds might include investments like commercial property, such as tracts of farmland or forestry land, hedge funds and other private equity funds, business loans, catastrophe bonds and real estate securities.

Renaissance Global Real Estate Fund seeks long - term capital growth by investing primarily in equity securities of companies throughout the world that are involved in, or that indirectly benefit from, management companies, commercial, industrial, and residential properties, or other investment in the real estate sector.

The iShares Diversified Monthly Income Fund (XTR) uses several other iShares ETFs to offer a blend of «income - bearing asset classes, including, but not limited to, common equities, fixed income securities and real estate investment trusts.»

Security types other than equities may have additional letters added, and each exchange (and data vendors) have different conventions for how this is handled.

It pays to watch both the equities and bonds, and other related securities — it gives a richer picture of what is going on.

Yes, it's all horrendously complex but here's a simple tip for those wishing to hold international equities: If all other things are equal, look for a Canadian ETF provider that offers a TSX - listed international equity ETF that holds the foreign securities directly.

When we invest in Equity securities, we generally do it with an investment objective of «long - term», and because they have a potential to give us decent real - rate of return than many other Asset classes.

MCAP offers opportunities to invest in a wide range of residential mortgage products, including Fixed and Variable Rate Mortgages, Home Equity Lines of Credit, Mortgage Backed Securities and other high yielding Alternative mortgages.