How a change in size or activity of a Portfolio Concern affects the Licensee and the Portfolio Concern.

CFR · 2024-01-01 · US · Title 13

(a) (1) Subject to the overline limitations of § 107.740, you may provide additional Financing to the concern up to the time it makes a public offering of its securities. (2) Even after the concern makes a public offering, you may exercise any stock options, warrants, or other rights to purchase Equity Securities which you acquired before the public offering, or fund Commitments you made before the public offering. (b) (2) (3) (c) (1) Retain your investment; and (2) Provide additional Financing to the Portfolio Concern to the extent necessary to protect against the loss of the amount of your original investment, subject to the overline limitations of § 107.740.

official document · source cfr-2024 · id 13:§ 107.760