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Res. #21-006 - Providing for Comp. Neg. of Sale of $1,335,000 G.O. Improv. Refunding Bond
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Res. #21-006 - Providing for Comp. Neg. of Sale of $1,335,000 G.O. Improv. Refunding Bond
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Defined Terms. <br />(a) "Holding Period" means, with respect to each Maturity of the Bonds, the period starting <br />on the Sale Date and ending on the earlier of (i) the close of the 5' business day after the Sale Date, or (ii) <br />the date on which the [Purchaser has] [Underwriters have] sold at least 10% of such Maturity to the <br />Public at prices that are no higher than the Initial Offering Price for such Maturity. <br />(b) "Maturity' means Bonds with the same credit and payment terms. Bonds with different <br />maturity dates, or Bonds with the same maturity date but different stated interest rates, are treated as <br />separate Maturities. <br />(c) "Public" means any person (including an individual, trust, estate, partnership, association, <br />company, or corporation) other than an Underwriter or a related party to an Underwriter. The term <br />"related party" for purposes of this Certificate means, with respect to a purchaser of the Bonds, if the <br />Underwriter and the purchaser are subject, directly or indirectly, to (i) more than fifty percent (50%) <br />common ownership of the voting power or the total value of their stock, if both entities are corporations <br />(including direct ownership by one corporation of another); (ii) more than fifty percent (50%) common <br />ownership of their capital interests or profits interests, if both entities are partnerships (including direct <br />ownership by one partnership of another); or (iii) more than fifty percent (50%) common ownership of the <br />value of the outstanding stock of the corporation or the capital interests or profit interests of the <br />partnership, as applicable, if one entity is a corporation and the other entity is a partnership (including <br />direct ownership of the applicable stock or interests by one entity of the other). <br />(d) "Sale Date" means the first day on. which there is a binding contract in writing for the <br />sale of a Maturity of the Bonds. The Sale Date of the Bonds is February 24, 2021. <br />(e) "Underwriter" means (i) any person that agrees pursuant to a written contract with the <br />Issuer (or with the lead underwriter to form an underwriting syndicate) to participate in the initial sale of <br />the Bonds to the Public, and (ii) any person that agrees pursuant to a written contract directly or indirectly <br />with a person described in clause (i) of this paragraph to participate in the initial sale of the Bonds to the <br />Public (including a member of a selling group or a party to a retail distribution agreement participating in <br />the initial sale of the Bonds to the Public). <br />A-A-4 <br />CE155-29-699697.v3 <br />
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