SERVICES COVERED. Designating a project manager to carry out Depositary Agent duties, including document review and execution of legal agreement, review of letters of transmittal and communication materials, project management, and on-going project updates and reporting • Enclosing and mailing offering materials to registered shareholders • Requesting banks/brokers/dealers listing from the Depositary Trust Company (DTC) • Contacting banks/brokers/dealers to inform them of the offering and requesting the number of sets of materials they will require to distribute to their shareholders • Distributing requested materials to banks/brokers/dealers • Establishing fulfillment telephone number to be include in the prospectus and DTC’s electronic notice to banks/brokers/dealers • Distributing additional sets of materials as requested through the fulfillment number • Establishing toll-free number to be include in the prospectus and DTC’s electronic notice to banks/brokers/dealers to facilitate banks/brokers/dealers/shareholders telephone inquiries • Responding to banks/brokers/dealers/shareholders telephone and correspondence inquiries • Tracking and reporting the number of telephone calls received and their nature • Receiving, opening and processing returned LT • Curing defective LT, including telephoning and writing shareholders in connection with unsigned or improperly executed LT • Mailing proper documentation to shareholders whose certificates are alleged to have been lost, stolen, or destroyed, in order to effect the tender without certificate surrender • Canceling surrendered certificates • Tracking and reporting the number of shares submitted • Calculating, prorating, issuing and reconciling checks and share certifctaes • Issuing tax forms and filing tax information with the IRS, as required • Enclosing and mailing checks, Forms 1099-B, share certificates and letters or notices to shareholders at the conclusion of the Tender Offer • Replacing checks alleged to have been lost or destroyed
Appears in 5 contracts
Sources: Depositary Agreement (Evergreen Utilities & High Income Fund), Depositary and Information Agent Agreement (Evergreen Utilities & High Income Fund), Depositary and Information Agent Agreement (Evergreen Utilities & High Income Fund)
SERVICES COVERED. Designating a project manager an operational team to carry out Depositary establish Warrant Agent procedures and duties, including document review and of draft agreements, offer document, execution of legal agreement, review of letters of transmittal and communication materials, project management, and on-going project updates and reporting • Enclosing Establish Warrant Issues under Client’s on Computershare’s record keeping system • Coordinate Warrant transfer and mailing offering materials to registered shareholders conversion procedures with DTC • Requesting banks/brokers/dealers listing from the Depositary Trust Company (DTC) • Contacting banks/brokers/dealers to inform them of the offering and requesting the number of sets of materials they will require to distribute to their shareholders • Distributing requested materials to banks/brokers/dealers • Establishing fulfillment telephone number to be include in the prospectus and DTC’s electronic notice to banks/brokers/dealers • Distributing additional sets of materials as requested through the fulfillment number • Establishing toll-free number to be include in the prospectus and DTC’s electronic notice to banks/brokers/dealers to facilitate banks/brokers/dealers/shareholders telephone inquiries • Responding to banks/brokers/dealers/shareholders telephone and correspondence inquiries • Tracking and reporting the number of telephone calls received and their nature • Receiving, opening and processing returned LT • Curing defective LT, including telephoning and writing shareholders in connection with unsigned or improperly executed LT • Mailing proper documentation to shareholders whose certificates are alleged to have been lost, stolen, or destroyed, in order to effect the tender without certificate surrender • Canceling surrendered Process transfer and/or conversion requests by issuing certificates • Tracking and reporting the number of shares submitted • Calculatingwarrants issued, proratingtransferred, issuing outstanding and reconciling checks and share certifctaes • Issuing tax forms and filing tax information with the IRSexercised, as required • Enclosing Processing Warrants received and converted • Deposit Warrant conversion checks and incoming wire transfers daily and forward all participant funds to Client • Providing receipt summation of checks and wire transfers received • Issuing and mailing checksstock certificates, Forms 1099DRS share statements and warrants • Affixing legends to appropriate stock certificates, where applicable • Replace lost, stolen or destroyed securities in accordance with UCC guidelines and Computershare policy (subject to shareholder-B, share certificates paid fee and letters or notices bond premium) • Process and post address changes plus mail confirmations if required • Obtain W-9 and W8-BEN certifications • Comply with SEC mandated annual lost shareholder search • Perform OFAC (Office of Foreign Asset Control) and Patriot Act reporting • Produce daily transfer reports and post them for online viewing • ** Payment to shareholders at DTCC of their Corporate Actions Eligibility Fee for the conclusion establishment of the Tender Offer • Replacing checks alleged new CUSIP number, as incurred. The Depository Trust Company (“DTC”) submitted a proposed rule change (File No. SR-DTC-2015-012) to have been lost or destroyedthe Securities and Exchange Commission pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934 to implement a fee called the Corporate Actions Eligibility Fee (“New Fee”) that would be charged to the transfer agent of any DTC-eligible security when DTC is requested to make a new CUSIP eligible for DTC services in connection with a corporate action event relating to the security. The amount of the New Fee is $1,000 per new CUSIP for any security that is made eligible at DTC in connection with a Corporate Action. The proposed rule change was implemented on January 1, 2016. The full text of the proposed rule change may be obtained by visiting DTCC’s website at ▇▇▇▇://▇▇▇.▇▇▇▇.▇▇▇/en/legal/sec-rule-filings.aspx.
Appears in 2 contracts
Sources: Existing Equity Warrant Agreement (Tidewater Inc), Creditor Warrant Agreement (Tidewater Inc)
SERVICES COVERED. Designating a project manager to carry out Depositary Conversion Agent duties, including document review and execution of legal agreement, review of letters of transmittal and communication materials, project management, and on-going project updates and reporting • Establishing a reserve of the Class A Shares to facilitate the Class B Share conversion requests • Establishing the Class B Share conversion procedures with iHeartMedia, Inc. and internal operations departments • Communicating and training internal associates on the Class B Share conversion procedures • Communicating conversion procedures to The Depositary Trust Company • Printing scannable Conversion Forms (“LTs”) that include shareholders’ name(s), address(es), certificate numbers, number of shares and affidavits of loss • Enclosing and mailing offering materials to registered shareholders • Requesting banks/brokers/dealers listing from the Depositary Trust Company (DTC) • Contacting banks/brokers/dealers to inform them of the offering and requesting the number of sets of materials they will require to distribute to their shareholders • Distributing requested materials to banks/brokers/dealers • Establishing fulfillment telephone number to be include in the prospectus and DTC’s electronic LTs, notice to banks/brokers/dealers • Distributing additional sets of materials as requested through the fulfillment number • Establishing toll-free number to be include in the prospectus shareholders and DTC’s electronic notice to banks/brokers/dealers to facilitate banks/brokers/dealers/shareholders telephone inquiries • Responding to banks/brokers/dealers/shareholders telephone and correspondence inquiries • Tracking and reporting the number of telephone calls received and their nature return envelopes • Receiving, opening and processing returned LT LTs • Curing defective LTLTs, including telephoning and writing shareholders in connection with unsigned or improperly executed LT • Mailing proper documentation to shareholders whose certificates are alleged to have been lost, stolen, or destroyed, in order to effect the tender without certificate surrender LTs • Canceling surrendered Class B Shares and certificates • Tracking and reporting the number of shares Class B Shares submitted and the submitting shareholders, as required • Collecting and tracking Ownership Certifications from each holder of Class B Shares submitted for conversion • Calculating, proratingissuing, issuing and reconciling the Class A Shares issued upon receipt of properly executed LTs and surrender of the Preferred Share certificates • Calculating, issuing, and reconciling cash in lieu of fractional share checks and share certifctaes • Issuing tax forms and filing tax information with the IRS, as required • Enclosing and mailing the Class A Shares, checks, IRS Forms 1099-B, share certificates B and letters or notices to shareholders at the conclusion of the Tender Offer • Responding to shareholder telephone and correspondence inquiries • Replacing checks alleged to have been lost or destroyed
Appears in 1 contract
SERVICES COVERED. Designating a project manager an operational team to carry out Depositary Agent subscription agent duties, including document review and execution of legal agreement, review of letters of transmittal Subscription Form and communication materials, project management, and on-going project updates and reporting • Enclosing and mailing Converting BlackRock Corporate High Yield Fund, Inc. stockholder file to Computershare’s corporate actions system • Coordinating the offering materials to registered shareholders • Requesting banks/brokers/dealers listing from with the Depositary Trust Company (DTC) • Contacting banks/brokers/dealers Interfacing with the information agent • Calculating the rights to inform them be distributed to each stockholder • Printing stockholder information on the Subscription Form • Coordinating the mailing of the offering and requesting the number of sets of materials they will require to distribute to their shareholders • Distributing requested subscription materials to banks/brokers/dealers stockholders with the information agent • Establishing fulfillment telephone number Send Event Announcement E-mails to be include in eligible holders providing access instructions and codes to enter the prospectus Website, as applicable • Providing a Website for eligible holders to submit their instructions and DTC’s electronic notice to banks/brokers/dealers • Distributing additional sets of materials as requested through the fulfillment number • Establishing toll-free number to be include in the prospectus and DTC’s electronic notice to banks/brokers/dealers to facilitate banks/brokers/dealers/shareholders telephone inquiries • Responding to banks/brokers/dealers/shareholders telephone and correspondence inquiries payments, if applicable • Tracking and reporting the number of telephone calls received and their nature • Receiving, opening and processing returned LT • Curing defective LT, including telephoning and writing shareholders in connection with unsigned or improperly executed LT • Mailing proper documentation to shareholders whose certificates are alleged to have been lost, stolen, or destroyed, in order to effect the tender without certificate surrender • Canceling surrendered certificates • Tracking and reporting the number of shares submitted • Calculating, prorating, issuing and reconciling checks and share certifctaes • Issuing tax forms and filing tax information with the IRSsubscriptions made, as required • Enclosing Processing the rights received and exercised • Selling the rights as requested by stockholders • Depositing participant checks daily • Providing receipt summation of checks received • Prorating subscriptions as required • Forwarding funds to BlackRock Corporate High Yield Fund, Inc. at the end of the offering period • Calculating, issuing and mailing shares and refund checks • Calculating, issuing, mailing and collecting invoices, if applicable • Calculating, issuing and mailing of solicitation checks, Forms 1099-Bif applicable • Items not specified in the “Services Covered” section set forth in this Agreement, share certificates including any services associated with new duties, legislation or regulatory fiat, which become effective after the date of this Agreement (these will be provided on an appraisal basis) • Surcharge(s) for services, including, without limitation, project management services, rendered outside of normal business hours (i.e. 6:00 p.m. - 8:00 a.m. Monday through Friday, weekends, and letters or notices U.S. holidays observed by the New York Stock Exchange). Additional fees will be provided on an appraisal basis. • All expenses, such as telephone line charges, overprinting, certificates, checks, postage, stationery, wire transfers, and excess material disposal (these will be billed as incurred) • Reasonable legal review fees if referred to shareholders at outside counsel • Additional charges may be assessed to Computershare for modifications, changes and edits to the conclusion website content document and/or the Offer Website, and will be passed through to Advisor, subject to Section 16 of the Tender Offer Agreement. • Replacing checks alleged Special reporting requests (including, but not limited to, escheatment, reconciliation and audit reports) and requests to have been lost or destroyedexpedite processed items outside of our standard target of 7-10-day turnaround time
Appears in 1 contract
Sources: Subscription Agent Agreement (Blackrock Corporate High Yield Fund, Inc.)
SERVICES COVERED. Designating a project manager an operational team to carry out Depositary Agent subscription agent duties, including document review and execution of legal agreement, review of letters of transmittal Subscription Form and communication materials, project management, and on-going project updates and reporting • Enclosing and mailing Converting BlackRock Core Bond Trust shareholder file to Computershare’s corporate actions system • Coordinating the offering materials to registered shareholders • Requesting banks/brokers/dealers listing from with the Depositary Trust Company (DTC) • Contacting banks/brokers/dealers Interfacing with the information agent • Calculating the rights to inform them be distributed to each shareholder • Printing shareholder information on the subscription form • Coordinating the mailing of the offering and requesting the number of sets of materials they will require to distribute to their shareholders • Distributing requested subscription materials to banks/brokers/dealers shareholders with the information agent • Establishing fulfillment telephone number Send Event Announcement E-mails to be include in eligible holders providing access instructions and codes to enter the prospectus Website, as applicable • Providing a Website for eligible holders to submit their instructions and DTC’s electronic notice to banks/brokers/dealers • Distributing additional sets of materials as requested through the fulfillment number • Establishing toll-free number to be include in the prospectus and DTC’s electronic notice to banks/brokers/dealers to facilitate banks/brokers/dealers/shareholders telephone inquiries • Responding to banks/brokers/dealers/shareholders telephone and correspondence inquiries payments, if applicable • Tracking and reporting the number of telephone calls received and their nature • Receiving, opening and processing returned LT • Curing defective LT, including telephoning and writing shareholders in connection with unsigned or improperly executed LT • Mailing proper documentation to shareholders whose certificates are alleged to have been lost, stolen, or destroyed, in order to effect the tender without certificate surrender • Canceling surrendered certificates • Tracking and reporting the number of shares submitted • Calculating, prorating, issuing and reconciling checks and share certifctaes • Issuing tax forms and filing tax information with the IRSsubscriptions made, as required • Enclosing Processing the rights received and exercised • Selling the rights as requested by shareholders • Depositing participant checks daily • Providing receipt summation of checks received • Prorating subscriptions as required • Forwarding funds to BlackRock Core Bond Trust at the end of the offering period • Calculating, issuing and mailing shares and refund checks • Calculating, issuing, mailing and collecting invoices, if applicable • Calculating, issuing and mailing of solicitation checks, Forms 1099-Bif applicable • Items not specified in the “Services Covered” section set forth in this Agreement, share certificates including any services associated with new duties, legislation or regulatory fiat, which become effective after the date of this Agreement (these will be provided on an appraisal basis) • Surcharge(s) for services, including, without limitation, Project Management services, rendered outside of normal business hours (i.e. 6:00 p.m.—8:00 a.m. Monday through Friday, weekends, and letters or notices U.S. holidays observed by the New York Stock Exchange). Additional fees will be provided on an appraisal basis. • All expenses, such as telephone line charges, overprinting, certificates, checks, postage, stationery, wire transfers, and excess material disposal (these will be billed as incurred) • Reasonable legal review fees if referred to shareholders at outside counsel • Additional charges may be assessed to Computershare for modifications, changes and edits to the conclusion website content document and/or the Offer Website, and will be passed through to Company, subject to Section 16 of the Tender Offer Agreement. • Replacing checks alleged Special reporting requests (including, but not limited to, escheatment, reconciliation and audit reports) and requests to have been lost or destroyedexpedite processed items outside of our standard target of 7-10-day turnaround time
Appears in 1 contract
Sources: Subscription Agent Agreement (Blackrock Core Bond Trust)
SERVICES COVERED. Designating a project manager an operational team to carry out Depositary Subscription and Information Agent duties, including document review and execution of legal agreement, review of letters of transmittal subscription form and communication materials, project management, distribution of materials, communications and on-going project updates and reporting • Enclosing Converting Technology Investment Capital Corp. records to EquiServe's Corporate Actions System • Calculating Rights to be distributed to each shareholder and printing shareholder information on the subscription form • Issuing and mailing offering materials subscription forms to registered shareholders • Requesting banks/brokers/dealers listing from the Depositary Trust Company (DTC) • Contacting banks/brokers/dealers to inform them of the offering and requesting the number of sets of materials they will require to distribute to their shareholders • Distributing requested materials to banks/brokers/dealers • •
Establishing a fulfillment telephone number to be include included in the prospectus and DTC’s 's electronic notice to banks/brokers/dealers • Distributing additional sets of materials as requested through the fulfillment number • Establishing a toll-free number to be include included in the prospectus and DTC’s 's electronic notice to banks/brokers/dealers to facilitate banks/brokers/dealers/shareholders telephone inquiries • Responding to banks/brokers/dealers/shareholders telephone and correspondence inquiries • Tracking and reporting the number of telephone calls received and their nature • Receiving, opening and processing returned LT • Curing defective LT, including telephoning and writing shareholders in connection with unsigned or improperly executed LT • Mailing proper documentation to shareholders whose certificates are alleged to have been lost, stolen, or destroyed, in order to effect the tender without certificate surrender • Canceling surrendered certificates • Tracking and reporting the number of shares submitted • Calculating, prorating, issuing and reconciling checks and share certifctaes • Issuing tax forms and filing tax information with the IRSexercises made, as required • Enclosing Processing Rights received and exercised • Processing sale of Rights requests received • Deposit participant checks daily and forward all participant funds to Technology Investment Capital Corp. at the end of the offering period • Providing receipt summation of checks received • Prorating, calculating and allocating shares upon the expiration of the offer • Issuing and mailing checksstock certificates, Forms 1099checks and/or invoices • Affixing legends to appropriate stock certificates, where applicable • Calculating, issuing and mailing of proration and/or over-Bsubscription checks if applicable • Calculating, share certificates issuing and letters or notices to shareholders at the conclusion mailing of the Tender Offer • Replacing solicitation checks alleged to have been lost or destroyedif applicable
Appears in 1 contract
Sources: Subscription and Information Agent Agreement (Technology Investment Capital Corp)