Restricted Security

Restricted Security. Means any outstanding Security or share of Common Stock issuable upon conversion thereof except any such Security or share of Common Stock which (i) has been effectively registered under the Securities Act and sold in a manner contemplated by the Shelf Registration Statement, (ii) has been transferred in compliance with Rule 144 under the Securities Act (or any successor provision thereto or similar provision then in effect) or is transferable pursuant to paragraph (k) of such Rule 144 (or any... successor provision thereto or similar provision then in effect), (iii) is freely transferable by persons that are not Affiliates of the Company without registration under the Securities Act, or (iv) has otherwise been transferred and a new Security or share of Common Stock not subject to transfer restrictions under the Securities Act has been delivered by or on behalf of the Company in accordance with the Indenture. View More

Restricted Security. Means any security except any such security that (A) has been registered pursuant to an effective Registration Statement under the Securities Act and sold in a manner contemplated by the Registration Statement, (B) has been sold in compliance with Rule 144 under the Securities Act (or any successor provision thereto) or is transferable pursuant to paragraph (k) of such Rule 144 (or any successor provision thereto) or, when taken together with all other Restricted Securities held by such person,... may be sold pursuant to Rule 144 in a single 90 day period (without giving any effect to clauses (ii) and (iii) of Rule 144(e)(1)), or (C) has otherwise been sold and a new security not subject to transfer restrictions under the Securities Act has been delivered by or on behalf of the Company. View More

Restricted Security. Means any Note or share of Common Stock issuable upon conversion of a Note or exercise of a Warrant except any such Note or share of Common Stock that (i) has been registered pursuant to an effective registration statement under the Securities Act and sold in a manner contemplated by the Shelf Registration Statement, (ii) has been transferred in compliance with Rule 144 under the Securities Act (or any successor provision thereto) or is transferable pursuant to paragraph (k) of such... Rule 144 (or any successor provision thereto) or (iii) has otherwise been transferred and a new Note or share of Common Stock not subject to transfer restrictions under the Securities Act has been delivered by or on behalf of the Company in accordance with Section 2.06 of the Indenture. View More

Restricted Security. Means any Security or share of Common Stock issued upon conversion thereof except any such Security or share of Common Stock that (i) has been effectively registered under the Shelf Registration Statement and sold pursuant thereto, (ii) is transferable by the Holders thereof, other than Affiliates of the Company, immediately without volume, manner of sale, filing or other restrictions pursuant to Rule 144(k) under the Securities Act (or any successor provision thereto) or (iii) ceases to be... outstanding (whether as a result of repurchase and cancellation, conversion or otherwise); provided, however, that if the Company issues additional notes pursuant to Section 2.14 of the Indenture, in determining whether any Security is a Restricted Security the date of issuance of that Security shall be deemed to be the 3 last date of issuance of any such additional notes and in determining whether any share of Common Stock issued upon conversion of Security is a Restricted Security the date of issuance of the Security converted shall be deemed to be the last date of issuance of any such additional notes. View More

Restricted Security. Means any Security or share of Common Stock issuable upon conversion of such Securities except any such Security or share of Common Stock that (i) ceases to be outstanding, (ii) has been effectively registered under the Securities Act and sold in a manner contemplated by the Shelf Registration Statement or (iii) has been transferred in compliance with Rule 144 under the Securities Act (or any successor provision thereto) or is transferable by a person who is not an affiliate of the Company... pursuant to Rule 144 (or any successor provision thereto) without any volume or manner of sale restrictions thereunder. View More

Restricted Security. Shall have the meaning ascribed thereto in Rule 144(a)(3) of the 1933 Act.

Restricted Security. Means any Security (or beneficial interest therein) not originally issued and sold in a transaction registered under the Securities Act, until such time as: (i) such Security (or beneficial interest therein) has been transferred in a transaction registered under the Securities Act; (ii) the Restriction Termination Date therefor has passed; or (iii) the Private Placement Legend therefor has otherwise been removed pursuant to Section 3.3 hereof or, in the case of a beneficial interest in a Global... Security, such beneficial interest has been exchanged for an interest in a Global Security not bearing a Private Placement Legend. For purposes of clarity, the Reset Notes are Restricted Securities. View More

Restricted Security. Any share of ZFC Common Stock issuable upon exchange of the Notes except any such share of ZFC Common Stock which (i) has been effectively registered under the Securities Act and sold in a manner contemplated by the Shelf Registration Statement, (ii) has been transferred in compliance with Rule 144 under the Securities Act (or any successor provision thereto) or are transferable pursuant to Rule 144 (or any successor provision thereto), or (iii) has otherwise been transferred and a new share of... ZFC Common Stock not subject to transfer restrictions under the Securities Act has been delivered by or on behalf of ZAIS Financial Corp. in accordance with the Indenture View More

Restricted Security. Means any Security or Default Security except any such Security or Default Security that (i) has been registered pursuant to an effective registration statement under the Securities Act and sold in a manner contemplated by the Shelf Registration Statement, (ii) has been transferred in compliance with Rule 144 under the Securities Act (or any successor provision thereto) or is transferable pursuant to such Rule 144 (or any successor provision thereto) without the requirement for the Company to... be in compliance with the current public information required under Rule 144(c)(1) (or Rule 144(i)(2), if applicable) (or any successor provisions thereto) or (iii) has otherwise been transferred and a new Security not subject to transfer restrictions under the Securities Act has been delivered by or on behalf of the Company. View More

Restricted Security. Any share of Invesco Mortgage Capital Common Stock issuable upon exchange of the Notes except any such share of Invesco Mortgage Capital Common Stock which (i) has been effectively registered under the Securities Act and sold in a manner contemplated by the Shelf Registration Statement, (ii) has been transferred in compliance with Rule 144 under the Securities Act (or any successor provision thereto) or has become transferable pursuant to Rule 144 (or any successor provision thereto)