Restricted Securities definition: Copy, customize, and use instantly
Introduction
The term "Restricted Securities" refers to securities that are subject to certain restrictions on transfer, typically under federal securities laws or by specific agreement. These securities are not freely tradable in the public market until certain conditions are met, such as expiration of holding periods or registration with the relevant authorities.
Below are various examples of how "Restricted Securities" can be defined in different contexts. Copy the one that fits your needs, customize it, and use it in your contract.
Definition of "Restricted Securities" as unregistered securities
This definition ties "Restricted Securities" to their status as unregistered.
"Restricted Securities" means securities that have not been registered under applicable securities laws and are subject to transfer restrictions.
Definition of "Restricted Securities" as securities with resale limitations
This definition connects "Restricted Securities" to resale limitations.
"Restricted Securities" refers to securities that are subject to limitations on resale, typically due to the lack of registration or an exemption from registration under securities laws.
Definition of "Restricted Securities" as securities subject to holding periods
This definition links "Restricted Securities" to holding period requirements.
"Restricted Securities" means securities that are required to be held for a specified period before they can be sold or transferred in compliance with securities regulations.
Definition of "Restricted Securities" as privately issued securities
This definition ties "Restricted Securities" to their private issuance.
"Restricted Securities" refers to securities that have been issued in a private offering and are not eligible for public resale until certain conditions, such as registration or an exemption, are met.
Definition of "Restricted Securities" as securities under Rule 144
This definition connects "Restricted Securities" to Rule 144 compliance.
"Restricted Securities" means securities that are subject to the restrictions outlined in Rule 144 of the Securities Act of 1933, requiring a holding period and other conditions before resale.
Definition of "Restricted Securities" as securities not freely transferable
This definition links "Restricted Securities" to transferability restrictions.
"Restricted Securities" refers to securities that are not freely transferable due to restrictions imposed by the issuing entity or by law.
Definition of "Restricted Securities" as securities with contractual restrictions
This definition connects "Restricted Securities" to contractual limitations.
"Restricted Securities" means securities that are subject to restrictions imposed by the terms of a purchase agreement, including limits on resale or transfer.
Definition of "Restricted Securities" as securities requiring registration
This definition ties "Restricted Securities" to the need for registration.
"Restricted Securities" refers to securities that cannot be sold or transferred unless they are registered with the Securities and Exchange Commission or an exemption is available.
Definition of "Restricted Securities" as securities issued under Regulation D
This definition connects "Restricted Securities" to Regulation D offerings.
"Restricted Securities" means securities issued pursuant to an offering under Regulation D of the Securities Act of 1933, which are restricted from resale unless certain conditions are met.
Definition of "Restricted Securities" as securities subject to a transfer legend
This definition ties "Restricted Securities" to transfer legends.
"Restricted Securities" refers to securities that bear a transfer legend indicating that the securities are subject to restrictions on resale under applicable securities laws.
Definition of "Restricted Securities" as securities issued to insiders
This definition connects "Restricted Securities" to insider transactions.
"Restricted Securities" means securities that are issued to company insiders, such as officers, directors, or employees, with restrictions on resale to prevent insider trading.
Definition of "Restricted Securities" as securities in a private placement
This definition links "Restricted Securities" to private placements.
"Restricted Securities" refers to securities acquired through a private placement and subject to restrictions that limit their transferability until they are registered or meet exemption criteria.
Definition of "Restricted Securities" as securities under Regulation S
This definition ties "Restricted Securities" to Regulation S compliance.
"Restricted Securities" means securities issued under Regulation S of the Securities Act of 1933, which are subject to restrictions on resale in the United States for a certain period.
Definition of "Restricted Securities" as securities issued in a non-public offering
This definition connects "Restricted Securities" to non-public offerings.
"Restricted Securities" refers to securities issued in a non-public offering that are restricted from resale in the public markets until specific legal conditions are met.
Definition of "Restricted Securities" as securities with resale lock-up periods
This definition links "Restricted Securities" to lock-up periods.
"Restricted Securities" means securities that are subject to a lock-up period, prohibiting their sale or transfer until the expiration of the lock-up period, typically after an initial public offering.
Definition of "Restricted Securities" as securities issued with a resale right
This definition ties "Restricted Securities" to resale rights.
"Restricted Securities" refers to securities issued with a right of first refusal or other rights that limit their resale or transfer to a specific group or under specific conditions.
Definition of "Restricted Securities" as securities subject to SEC regulations
This definition connects "Restricted Securities" to SEC oversight.
"Restricted Securities" means securities that are subject to the regulations of the Securities and Exchange Commission (SEC), including those that govern registration, transfer, and resale.
Definition of "Restricted Securities" as securities issued in exchange transactions
This definition links "Restricted Securities" to exchange transactions.
"Restricted Securities" refers to securities issued in exchange transactions, such as mergers or acquisitions, which are restricted from resale under securities law until certain conditions are met.
Definition of "Restricted Securities" as securities acquired by affiliates
This definition ties "Restricted Securities" to affiliate transactions.
"Restricted Securities" means securities acquired by affiliates of the issuer, subject to restrictions on transfer or resale to prevent manipulation or insider trading.
Definition of "Restricted Securities" as securities with regulatory approval requirements
This definition connects "Restricted Securities" to regulatory approval.
"Restricted Securities" refers to securities that require approval from regulatory authorities before they can be sold or transferred, ensuring compliance with securities laws.
Definition of "Restricted Securities" as securities held by controlled entities
This definition links "Restricted Securities" to control group entities.
"Restricted Securities" means securities held by entities that are under the control of the issuer, with restrictions on transfer to prevent market disruption.
Definition of "Restricted Securities" as securities subject to shareholder approval
This definition ties "Restricted Securities" to shareholder approval.
"Restricted Securities" refers to securities whose transfer or resale is subject to approval by the issuer’s shareholders or board of directors.
Definition of "Restricted Securities" as securities subject to private market transactions
This definition connects "Restricted Securities" to private market conditions.
"Restricted Securities" means securities that are not intended for public trading but are instead sold in private transactions, with limitations on their transfer or resale.
Definition of "Restricted Securities" as securities subject to foreign market restrictions
This definition links "Restricted Securities" to foreign market conditions.
"Restricted Securities" refers to securities that are subject to restrictions on transfer or sale in foreign markets, often due to local regulations.
Definition of "Restricted Securities" as securities issued in special circumstances
This definition ties "Restricted Securities" to special issuance conditions.
"Restricted Securities" means securities issued under specific conditions, such as for employees, that carry restrictions on their sale or transfer.
Definition of "Restricted Securities" as securities subject to financial disclosure
This definition connects "Restricted Securities" to financial transparency.
"Restricted Securities" refers to securities that are subject to specific financial disclosure requirements, including those governing their transfer or resale.
Definition of "Restricted Securities" as securities under lock-up agreements
This definition links "Restricted Securities" to lock-up agreements.
"Restricted Securities" means securities held under a lock-up agreement, which prevents their sale or transfer for a specified period following an offering.
Definition of "Restricted Securities" as securities subject to non-transferability
This definition ties "Restricted Securities" to transferability restrictions.
"Restricted Securities" refers to securities that are not transferable except in accordance with specific conditions outlined in the relevant securities laws or agreements.
Definition of "Restricted Securities" as securities granted under employee stock plans
This definition connects "Restricted Securities" to employee stock options.
"Restricted Securities" means securities granted to employees under stock option or purchase plans that cannot be sold or transferred until certain conditions, such as vesting, are met.
Definition of "Restricted Securities" as securities subject to resale obligations
This definition links "Restricted Securities" to resale requirements.
"Restricted Securities" refers to securities that, upon sale or transfer, must comply with specific resale obligations, such as registration or obtaining an exemption under securities laws.
Definition of "Restricted Securities" as securities with legal transfer restrictions
This definition ties "Restricted Securities" to legal restrictions on transfer.
"Restricted Securities" means securities that are restricted by legal or regulatory rules, prohibiting or limiting their transfer, except under certain conditions.
This article contains general legal information and does not contain legal advice. Cobrief is not a law firm or a substitute for an attorney or law firm. The law is complex and changes often. For legal advice, please ask a lawyer.