Restricted Securities
To avoid conflicts of interest, Morningstar maintains the following policies on employee stock ownership. These policies apply to employees and their immediate family members: ...
Restricted Securities
Retender
The right of holders of futures contracts who have been tendered a delivery notice through the clearinghouse to offer the notice for sale on the open market, ...
Restricted Securities
Stocks or bonds which were issued in a private sale or other transaction not registered with the SEC.
Rollover ...
Restricted securities: Securities that have been purchased directly from the issuer or an affiliate of the issuer rather than through a public offering.
restricted securities
securities acquired from an issuer in a nonpublic transfer, that is, on terms and at a price not offered to the general public through an underwriter.
Restricted securities are stocks or warrants that you acquire privately, through stock options or a corporate merger, rather than by buying them in the open market.
Purchasers receive restricted securities, meaning that the securities cannot be sold for at least a year without registering them.
Records to Request ...
Restricted Securities The term used under Rule 144 for securities issued privately by the company, without the benefit of a registration statement. Restricted securities are subject to a holding period before they can be sold under Rule 144.
A private purchaser wishes to invest directly in an issuer but hopes to acquire unrestricted securities.
An investor's contractual right to demand that the issuer register specified restricted securities with the SEC and the state securities agencies so that the restricted securities become registered and freely tradable.
An order placed by a company's insider to buy or sell restricted securities from within the company's own treasury. Appropriate documentation must be filed before the order can be placed.
An order placed by an insider, after all appropriate documentation has been filed, to buy restricted securities openly on an exchange. ...
The term used under Rule 144 for securities issued privately by the company, without the benefit of a registration statement. Restricted securities are subject to a holding period before they can be sold under Rule 144.
Restricted surplus ...
Range Forwards
Prepaid Forwards
Protective Put Options
Call Options and Call Spreads
Cashless Collars
Sale/Purchase of Restricted Securities ...
qualified investment buyer (QIB): An investor who is permitted to acquire restricted securities.
Qube (QQQ): A UIT that tracks the NASDAQ 100 Index trading as QQQ on the American Stock Exchange.
An investor can use "registration rights" help achieve liquidity to facilitate the sale of restricted securities after a private company goes public or "put rights" which allow the investor to force an issuer to repurchase the securities while the ...
A shorter form of registration statement than the Form S-1 that can be used by certain already-public companies to sell additional shares. It is also the form most often used to cover resales of restricted securities by selling stockholders.
 See also: Values, Banks, Return On Equity, Splits, Yield curve
  
|
RSS
