Compliance with USA Patriot Act. In accordance with the requirements of the USA Patriot Act (Title III of Pub. L. 107-56 (signed into law October 26, 2001)), the Underwriters are required to obtain, verify and record information that identifies their respective clients, including the Company, which information may include the name and address of their respective clients, as well as other information that will allow the Underwriters to properly identify their respective clients.
Compliance with USA Patriot Act. In accordance with the requirements of the USA PATRIOT Act (Title III of Pub. L. 107-56 (signed into law October 26, 2001)), as amended, the Sales Agent is required to obtain, verify and record information that identifies its clients, including the Company, which information may include the name and address of its clients, as well as other information that will allow the Sales Agent to properly identify its clients.
Compliance with USA Patriot Act. In accordance with the requirements of the USA Patriot Act, the Underwriter is required to obtain, verify and record information that identifies its clients, including the Company, which information may include the name and address of its clients, as well as other information that will allow the Underwriter to properly identify its clients.
Compliance with USA Patriot Act. In accordance with the requirements of the USA Patriot Act, the Initial Purchasers are required to obtain, verify and record information that identifies their respective clients, including the Company, which information may include the name and address of their respective clients, as well as other information that will allow the Initial Purchasers to properly identify their respective clients.
Compliance with USA Patriot Act. In accordance with the requirements of the USA Patriot Act (Title III of Pub. L. 107-56 (signed into law October 26, 2001)), the Underwriters are required to obtain, verify and record information that identifies their respective clients, including the Company, which information may include the name and address of their respective clients, as well as other information that will allow the Underwriters to properly identify their respective clients. Please confirm, by signing and returning to us two (2) counterparts of this Agreement, that the Representatives are acting on behalf of themselves and the several Underwriters and that the foregoing correctly sets forth the agreement among the Company and the several Underwriters. Very truly yours, NEW YORK MORTGAGE TRUST, INC. By: /s/ Xxxxxx X. Xxxxx Name: Xxxxxx X. Xxxxx Title: Chief Executive Officer Confirmed and accepted as of the date first above mentioned: XXXXXX XXXXXXX & CO. LLC By: /s/ Xxxxxxx Xxxx Name: Xxxxxxx Xxxx Title: Managing Director As Representative of the Several Underwriters named in Schedule I hereto SCHEDULE I Underwriting Agreement dated May 8, 2019 Underwriters Number of Firm Securities to be Purchased Xxxxxx Xxxxxxx & Co. LLC 5,760,000 Barclays Capital Inc. 3,060,000 Credit Suisse Securities (USA) LLC 3,060,000 X.X. Xxxxxx Securities, LLC 3,060,000 UBS Securities LLC 3,060,000 Total 18,000,000 SCHEDULE 1(j) Entity Company Ownership Kiawah River View Investors LLC 50.00 % SCHEDULE 1(xx) New York Mortgage Trust 2005-1 New York Mortgage Trust 2005-2 New York Mortgage Trust 2005-3 NYM Preferred Trust I NYM Preferred Trust II SCHEDULE II Issuer General-Use Free Writing Prospectus None. SCHEDULE III Pricing and Other Information 18,000,000 shares with an option to purchase up to 2,700,000 additional shares. The price per share for the Securities shall be, as to each investor, the price paid by such investor.
Compliance with USA Patriot Act. In accordance with the requirements of the USA Patriot Act (Title III of Pub. L. 107-56 (signed into law October 26, 2001)), the Underwriter are required to obtain, verify and record information that identifies their respective clients, including the Company, which information may include the name and address of their respective clients, as well as other information that will allow the Underwriter to properly identify their respective clients. The Company hereby submits to the non-exclusive jurisdiction of the Federal and state courts in the Borough of Manhattan in The City of New York in any suit or proceeding arising out of or relating to this Agreement or the transactions contemplated hereby. The Company irrevocably and unconditionally waives any objection to the laying of venue of any suit or proceeding arising out of or relating to this Agreement or the transactions contemplated hereby in Federal and state courts in the Borough of Manhattan in the City of New York and irrevocably and unconditionally waives and agrees not to plead or claim in any such court that any such suit or proceeding in any such court has been brought in an inconvenient forum. Very truly yours, Builders FirstSource, Inc. By: /s/ Xxxxxx X. XxXxxxxxx Name: Xxxxxx X. XxXxxxxxx Title: Senior Vice President and General Counsel WARBURG PINCUS PRIVATE EQUITY IX, L.P. By: Warburg Pincus IX GP L.P., its general partner By: WPP GP LLC, its general partner By: Warburg Pincus Partners, L.P., its managing member By: Warburg Pincus Partners GP LLC, its general partner By: Warburg Pincus & Co., its managing member By: /s/ Xxxxx Xxxx Name: Xxxxx Xxxx Title: Managing Director The foregoing Underwriting Agreement is hereby confirmed and accepted as of the date first above written. DEUTSCHE BANK SECURITIES INC. By: /s/ Xxxx Xxxxxxxx Name: Xxxx Xxxxxxxx Title: Managing Director By: /s/ Xxxxxxxx Xxxxx Name: Xxxxxxxx Xxxxx Title: Director SCHEDULE A
Compliance with USA Patriot Act. In accordance with the requirements of the USA Patriot Act (Title III of Pub. L. 107-56 (signed into law October 26, 2001)), the Underwriters are required to obtain, verify and record information that identifies their respective clients, including the Company, which information may include the name and address of their respective clients, as well as other information that will allow the Underwriters to properly identify their respective clients. Each of the parties hereby submits to the non-exclusive jurisdiction of the federal and state courts in the Borough of Manhattan in The City of New York in any suit or proceeding arising out of or relating to this Agreement or the transactions contemplated hereby. If the foregoing is in accordance with your understanding, please indicate your acceptance of this Agreement by signing in the space provided below. Very truly yours, AVNET, INC. By: /s/ Xxxxx Xxxxxxxx Name: Xxxxx Xxxxxxxx Title: Senior Vice President, Chief Financial Officer and Assistant Secretary [Underwriting Agreement] X.X. XXXXXX SECURITIES LLC By: /s/ Xxxxxx Xxxxxxxxx Name: Xxxxxx Xxxxxxxxx Title: Vice President XXXXXXX LYNCH, PIERCE, XXXXXX & XXXXX INCORPORATED By: /s/ Xxxxxx Xxxxxxxx Name: Xxxxxx Xxxxxxxx Title: Managing Director For themselves and on behalf of the several Underwriters listed in Schedule B hereto. [Underwriting Agreement] SCHEDULE A Issuer Free Writing Prospectus Pricing Term Sheet, dated March 21, 2016, relating to the Securities, as filed pursuant to Rule 433 under the Act. SCHEDULE B Underwriter Principal Amount of Notes to be Purchased X.X. Xxxxxx Securities LLC $ 173,250,000 Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated $ 173,250,000 Mitsubishi UFJ Securities (USA), Inc. $ 55,000,000 BNP Paribas Securities Corp. $ 27,500,000 Mizuho Securities USA Inc. $ 27,500,000 Scotia Capital (USA) Inc. $ 27,500,000 BB&T Capital Markets, a division of BB&T Securities, LLC $ 16,500,000 PNC Capital Markets LLC $ 16,500,000 SMBC Nikko Securities America, Inc. $ 16,500,000 Xxxxx Fargo Securities, LLC $ 16,500,000 Total $ 550,000,000 SCHEDULE C Information provided by the Underwriters
Compliance with USA Patriot Act. Borrower represents and warrants that it is not subject to any law, regulation, or list of any government agency (including, without limitation, the U.S. Office of Foreign Asset Control list) that prohibits or limits Lender from making any advance or extension of credit to Borrower or from otherwise conducting business with Borrower.
Compliance with USA Patriot Act. In accordance with the requirements of the USA PATRIOT Act (Title III of Pub. L. 107-56 (signed into law on October 26, 2001), as amended), the Underwriters are required to obtain, verify and record information that identifies their respective clients, including the Company, which information may include the name and addresses of their respective clients, as well as other information that will allow the Underwriters to properly identify their respective clients. If the foregoing is in accordance with your understanding of our agreement, please sign and return to us the enclosed duplicate hereof, whereupon this letter and your acceptance shall represent a binding agreement among the Company and the several Underwriters. Very truly yours, TransAlta Corporation By: /s/ Xxxxx Xxxxxxx Name: Xxxxx Xxxxxxx Title: Vice President, Legal and Corporate Secretary By: /s/ Xxxxx Xxxx Name: Xxxxx Xxxx Title: Senior Vice President, M&A, Strategy and Treasurer [Signature Page to Underwriting Agreement] The foregoing Agreement is hereby confirmed and accepted as of the date first above written. RBC Capital Markets, LLC By: /s/ Xxxxxxx Xxxx Name: Xxxxxxx Xxxx Title: Managing Director For itself and the other several Underwriters named in Schedule I to the foregoing Agreement. Schedule I Underwriters Principal Amount of Securities to be Purchased RBC Capital Markets, LLC US$ 100,000,000.00 CIBC World Markets Corp. US$ 64,000,000.00 BofA Securities, Inc. US$ 12,000,000.00 Scotia Capital (USA) Inc. US$ 52,000,000.00 BMO Capital Markets Corp. US$ 32,000,000.00 TD Securities (USA) LLC US$ 32,000,000.00 National Bank of Canada Financial Inc. US$ 32,000,000.00 MUFG Securities Americas Inc. US$ 20,000,000.00 Xxxxxxxxxx Securities Inc. US$ 20,000,000.00 ATB Capital Markets Inc. US$ 20,000,000.00 Mizuho Securities USA LLC US$ 12,000,000.00 Loop Capital Markets LLC US$ 4,000,000.00 Total US$ 400,000,000.00 Schedule II Schedule of Free Writing Prospectuses included in the Disclosure Package: Final Term Sheet dated November 14, 2022 (in the form of Schedule III hereto) Schedule III TransAlta Corporation Pricing Term Sheet This pricing term sheet is qualified in its entirety by reference to the Preliminary Prospectus Supplement, dated November 14, 2022 (the “Preliminary Prospectus Supplement”). The information in this pricing term sheet supplements the Preliminary Prospectus Supplement and updates and supersedes the information in the Preliminary Prospectus Supplement to the extent it is ...
Compliance with USA Patriot Act. Borrower shall (a) not be or become subject at any time to any law, regulation, or list of any government agency (including, without limitation, the U.S. Office of Foreign Asset Control list) that prohibits or limits Lender from making any advance or extension of credit to Borrower or from otherwise conducting business with Borrower, and (b) provide documentary and other evidence of Borrower’s identity as may be requested by Lender at any time to enable Lender to verify Borrower’s identity or to comply with any applicable law or regulation, including, without limitation, Section 326 of the USA Patriot Act of 2001, 31 U.S.C. Section 5318.