Laserfiche WebLink
Metadata
Document management portal powered by Laserfiche WebLink 9 © 1998-2015 Laserfiche. All rights reserved.
b) Purchase price of investments including any accrued interest; <br />c) Face amount and maturity date; <br />d) Stated rate of interest; <br />e) Interest payment dates; <br />f) Date of sale, transfer, or other disposition; <br />g) Sale or disposition price; and <br />h) Accrued interest due on the date of sale or disposition; <br />4. Any other information necessary for the Advisor to make the calculations required for the specified Debt <br />Obligation. <br />D. Continuing Disclosure Services <br />Upon receipt of written authorization from the Client to proceed, Advisor shall, based on the information supplied <br />thereby, assist Client in satisfying its obligations for specified Debt Obligations under any applicable continuing <br />disclosure undertaking executed by and requiring the Client to provide certain financial information and operating <br />data and timely notices of the occurrence of certain events determined to be significant to investors. Such <br />assistance will include the following for each specified Debt Obligation: <br />1. Compile, as needed, and file an annual report according to the continuing disclosure undertaking (the <br />"Undertaking") executed by Client pursuant to SEC Rule 15c2 -12(b)(5) for the Debt Obligation(s) for <br />submission by Client to the Municipal Securities Rulemaking Board (MSRB) and the State Information <br />Depository (SID), as applicable. The annual report will generally include: <br />a) An annual audited financial statement to be prepared by Client's accountants. <br />b) Updates of certain specified operating and financial data if not included in the annual audited financial <br />statement. <br />2. Monitor through periodic requests for information, the significant events listed in the Undertaking and assist, <br />as necessary, in the drafting and filing of a significant event notice relative thereto. <br />3. Advisor will furnish a receipt of filing for any continuing disclosure filing made within 30 days after its <br />submission to the MSRB. <br />Client agrees to provide the Advisor with accurate information with respect to compiling the annual report in a <br />timely manner and to fully disclose to Advisor any significant events as they occur. <br />A-3 <br />