Common use of LISTED BELOW Clause in Contracts

LISTED BELOW. ORDERS BY EXISTING HOLDERS- NUMBER OF FUNDPREFERRED SHARES ORDERS BY NUMBER OF SHARES POTENTIAL OF FUNDPREFERRED HOLDERS- SHARES ----------------------------------------------------------------------------------------------------------------------------------- POTENTIAL HOLDER BID/RATE ----------------------------------------------------------------------------------------------------------------------------------- EXISTING HOLDER HOLD BID/RATE SELL 1. /...... ------ ---------------- --------------------------- ------- --------- --------------------- ------------ ---------------------- ------- ------------------- 1. /........ 2. /...... ------ --------- ------------------ --------- ------ ---------------- --------------------------- ------- --------- --------------------- ------------ ---------------------- ------- ------------------- 2. /........ 3. /...... ------ --------- ------------------ --------- ------ ---------------- --------------------------- ------- --------- --------------------- ------------ ---------------------- ------- ------------------- 3. /........ 4. /...... ------ --------- ------------------ --------- ------ ---------------- --------------------------- ------- --------- --------------------- ------------ ---------------------- ------- ------------------- 4. /........ 5. /...... ------ --------- ------------------ --------- ------ ---------------- --------------------------- ------- --------- --------------------- ------------ ---------------------- ------- ------------------- 5. /........ 6. /...... ------ --------- ------------------ --------- ------ ---------------- --------------------------- ------- --------- --------------------- ------------ ---------------------- ------- ------------------- 6. /........ 7. /...... ------ --------- ------------------ --------- ------ ---------------- --------------------------- ------- --------- --------------------- ------------ ---------------------- ------- ------------------- 7. /........ 8. /...... ------ --------- ------------------ --------- ------ ---------------- --------------------------- ------- --------- --------------------- ------------ ---------------------- ------- ------------------- 8. /........ 9. /...... ------ --------- ------------------ --------- ------ ---------------- --------------------------- ------- --------- --------------------- ------------ ---------------------- ------- ------------------- 9. /........ 10. /...... ------ --------- ------------------ --------- ----- ---------------- --------------------------- ------- --------- --------------------- ------------ ---------------------- ------- ------------------- 10. /........ 11. /...... ----- --------- ------------------ --------- ----- ---------------- --------------------------- ------- --------- --------------------- ------------ ---------------------- ------- ------------------- 12. /...... ----- ---------------- ------------------------------------------------------------------------------------------- ----------------------- ------- ------- NOTES: 13. /...... ------ ----- --------------- ----------------------------------------------------------------------------------------------------------------------------------- 14. /...... ----- --------------- ----------------------------------------------------------------------------------------------------------------------------------- 1. If one or more Orders covering in the aggregate more than the number of 15. ----- /....... outstanding FundPreferred shares held by any Existing holder are --------------- submitted, such Orders shall be considered valid in the order of priority set forth in the Auction Procedures. ----------------------------------------------------------------------------------------------------------------------------------- 2. A Hold Order or Sell Order may be placed only by an Existing Holder covering a number of FundPreferred shares not greater than the number of FundPreferred shares currently held by such Existing Holder. ----------------------------------------------------------------------------------------------------------------------------------- 3. Potential Holders may make Bids only, each of which must specify a rate. If more than one Bid is submitted on behalf of any Potential Holder, each Bid submitted shall be a separate Bid with the rate specified. ----------------------------------------------------------------------------------------------------------------------------------- 4. Bids may contain no more than three figures to the right of the decimal point (.001 of 1%). -----------------------------------------------------------------------------------------------------------------------------------

Appears in 7 contracts

Samples: Nuveen Broker Dealer Agreement (Nuveen Tax-Advantaged Floating Rate Fund), Nuveen Broker Dealer Agreement (Nuveen Diversified Dividend & Income Fund), Nuveen Broker Dealer Agreement (Nuveen Tax-Advantaged Floating Rate Fund)

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LISTED BELOW. ORDERS BY EXISTING HOLDERS- NUMBER OF FUNDPREFERRED SHARES OF TAPS ORDERS BY POTENTIAL HOLDERS- NUMBER OF SHARES POTENTIAL OF FUNDPREFERRED HOLDERS- SHARES ----------------------------------------------------------------------------------------------------------------------------------- TAPS ------------------------------------------------------------------------------------------------------------------------------------ POTENTIAL HOLDER BID/RATE ----------------------------------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------------------------------------ EXISTING HOLDER HOLD BID/RATE SELL 1. /...... / ------ ---------------- --------------------------- ------- --------- --------------------- ------------ ---------------------- ------- ------------------- ------------------ ------------------------------------------------------------------------------------------------------------------------------------ 1. /........ / 2. /...... / ------ --------- ------------------ --------- ------ ---------------- --------------------------- ------- --------- --------------------- ------------ ---------------------- ------- ------------------- ------------------ ------------------------------------------------------------------------------------------------------------------------------------ 2. /........ / 3. /...... / ------ --------- ------------------ --------- ------ ---------------- --------------------------- ------- --------- --------------------- ------------ ---------------------- ------- ------------------- ------------------ ------------------------------------------------------------------------------------------------------------------------------------ 3. /........ / 4. /...... / ------ --------- ------------------ --------- ------ ---------------- --------------------------- ------- --------- --------------------- ------------ ---------------------- ------- ------------------- ------------------ ------------------------------------------------------------------------------------------------------------------------------------ 4. /........ / 5. /...... / ------ --------- ------------------ --------- ------ ---------------- --------------------------- ------- --------- --------------------- ------------ ---------------------- ------- ------------------- ------------------ ------------------------------------------------------------------------------------------------------------------------------------ 5. /........ / 6. /...... / ------ --------- ------------------ --------- ------ ---------------- --------------------------- ------- --------- --------------------- ------------ ---------------------- ------- ------------------- ------------------ ------------------------------------------------------------------------------------------------------------------------------------ 6. /........ / 7. /...... / ------ --------- ------------------ --------- ------ ---------------- --------------------------- ------- --------- --------------------- ------------ ---------------------- ------- ------------------- ------------------ ------------------------------------------------------------------------------------------------------------------------------------ 7. /........ / 8. /...... / ------ --------- ------------------ --------- ------ ---------------- --------------------------- ------- --------- --------------------- ------------ ---------------------- ------- ------------------- ------------------ ------------------------------------------------------------------------------------------------------------------------------------ 8. /........ / 9. /...... / ------ --------- ------------------ --------- ------ ---------------- --------------------------- ------- --------- --------------------- ------------ ---------------------- ------- ------------------- ------------------ ------------------------------------------------------------------------------------------------------------------------------------ 9. /........ / 10. /...... / ------ --------- ------------------ --------- ----- ---------------- --------------------------- ------- --------- --------------------- ------------ ---------------------- ------- ------------------- ------------------ ------------------------------------------------------------------------------------------------------------------------------------ 10. /........ / 11. /...... / ----- --------- ------------------ --------- ----- ---------------- --------------------------- ------- --------- --------------------- ------------ ---------------------- ------- ------------------- ------------------ ------------------------------------------------------------------------------------------------------------------------------------ 12. /...... / ----- ---------------- ------------------------------------------------------------------------------------------- ----------------------- ------- ------- ------------------ ------------------------------------------------------------------------------------------------------------------------------------ NOTES: 13. /...... / ------ ----- --------------- ----------------------------------------------------------------------------------------------------------------------------------- ------------------ ------------------------------------------------------------------------------------------------------------------------------------ 14. /...... / ----- --------------- ----------------------------------------------------------------------------------------------------------------------------------- ------------------ ------------------------------------------------------------------------------------------------------------------------------------ 1. If one or more Orders covering in the aggregate more than the 15. / number of 15. ----- /....... outstanding FundPreferred shares of TAPS held by any Existing holder are --------------- ----- ------------------ submitted, such Orders shall be considered valid in the order of priority set forth in the Auction Procedures. ----------------------------------------------------------------------------------------------------------------------------------- 2. A Hold Order or Sell Order may be placed only by an Existing Holder covering a number of FundPreferred shares not greater than the number of FundPreferred shares currently held by such Existing Holder. ----------------------------------------------------------------------------------------------------------------------------------- 3. Potential Holders may make Bids only, each of which must specify a rate. If more than one Bid is submitted on behalf of any Potential Holder, each Bid submitted shall be a separate Bid with the rate specified. ----------------------------------------------------------------------------------------------------------------------------------- 4. Bids may contain no more than three figures to the right of the decimal point (.001 of 1%). -----------------------------------------------------------------------------------------------------------------------------------.

Appears in 1 contract

Samples: Broker Dealer Agreement (Nuveen Real Estate Income Fund)

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