Rule 16a-1 definition
Examples of Rule 16a-1 in a sentence
As of the date of this Subscription Agreement the undersigned does not have, and during the thirty (30) day period immediately prior to the date of this Subscription Agreement the undersigned has not entered into, any “put equivalent position” as such term is defined in Rule 16a-1 under the Exchange Act or Short Sale positions with respect to the securities of the Company.
Ex- cept as Rule 16(a)(1) provides otherwise, this rule does not authorize the discovery or in- spection of reports, memoranda, or other in- ternal government documents made by an at- ▇▇▇▇▇▇ for the government or other govern- ment agent in connection with investigating or prosecuting the case.
The Holder shall not sell or otherwise transfer any Warrants to DEI, any affiliate of DEI, Mr. Darr▇▇▇ ▇▇▇▇, ▇▇e president of DEI, any entity which, to the knowledge of the Holder, is controlled by Mr. ▇▇▇▇, ▇▇ any person who, to the knowledge of the Holder, is a member of the immediate family (as such term is defined in Rule 16a-1 promulgated under the Exchange Act) of Mr. ▇▇▇▇.
As of the date of this Subscription Agreement the Subscriber does not have, and during the thirty (30) day period immediately prior to the date of this Subscription Agreement the Subscriber has not entered into, any “put equivalent position” as such term is defined in Rule 16a-1 under the Exchange Act or Short Sale positions with respect to the securities of the Company.
For purposes of this Agreement insofar as it relates to Lock-Up Agreements, “officer” has the meaning ascribed thereto in Rule 16a-1 promulgated under the Exchange Act.
The Investor does not have, as of the date hereof, and during the 30-day period immediately prior to the date hereof, the Investor has not entered into, any “put equivalent position” as such term is defined in Rule 16a-1 under the Exchange Act or end of day short sale positions with respect to the securities of SPAC.
The Investor does not have, as of the date hereof, and during the 30-day period immediately prior to the date hereof such Investor has not entered into, any “put equivalent position” as such term is defined in Rule 16a-1 under the Exchange Act or short sale positions with respect to the securities of ARYA.
Rule 16(a)(1)(E) and 16(a)(1)(F) require production of specified information if the gov- ernment intends to ‘‘use’’ the information ‘‘in its case- in-chief at trial.’’ The Committee believed that the lan- guage in revised Rule 16(b)(1)(B), which deals with a de- fendant’s disclosure of information to the government, should track the similar language in revised Rule 16(a)(1).
No current or former officer or director of any of Knight or its Subsidiaries, or stockholder of Knight or “associate” or member of the “immediate family” (as such terms are defined in Rule 12b-2 and Rule 16a-1 under the Exchange Act) of any such officer or director or stockholder, has any material interest in any material property (whether real or personal, tangible or intangible) or contract used in or pertaining to the business of Knight or any of its Subsidiaries.
No current or former officer or director of any of GETCO or its Subsidiaries, or Holder of GETCO or “associate” or member of the “immediate family” (as such terms are defined in Rule 12b-2 and Rule 16a-1 under the Exchange Act) of any such officer or director or Holder, has any material interest in any material property (whether real or personal, tangible or intangible) or contract used in or pertaining to the business of GETCO or any of its Subsidiaries.