Common use of SERVICES COVERED Clause in Contracts

SERVICES COVERED. DEPOSITARY — Tender Offer • Designating an operational team to carry out Depositary duties • Reviewing the Depositary Agreement and other legal documents • Interfacing with Xxxxxxxxx (Info Agent), as necessary • Reviewing the Communication Package (i.e., Letter of Transmittal (LT), enclosure letters and other documentation • Converting the Company shareholder files to Computershare’s corporate actions system • Coordinating tender offer with The Depository Trust and Clearing Corporation to facilitate tenders from brokers and street shareholders • Receiving, opening and processing returned LTs • Curing defective LTs, including telephoning and writing shareholders in connection with unsigned or improperly executed LTs • Xxxxxxxxx surrendered certificates • Tracking and reporting the number of shares submitted and the submitting shareholders, as follows: Agent shall forward up to 10 reports of tender activity by email beginning the last 2 weeks before the expiration to each of the parties named below as to the following information, based upon a preliminary review as of the close of business on the preceding business day: (i) the number of Shares tendered; (ii) the number of Shares tendered represented by certificates physically held by Agent; (iii) the number of Shares represented by Notices of Guaranteed Delivery; (iv) the number of Shares withdrawn; and (v) the cumulative totals of Shares in categories (i) through (iv) above. At the expiration of the offer Agent shall provide a master list of Shares elected, including a complete list of the electing stockholders. Agent can furnish to the Purchaser, upon reasonable request, additional daily or inter-day ad hoc reports, for an additional fee of $100.00 per report. • Xxxxxxxxxxx and issuing checks at the completion of the tender period, assuming receipt of properly executed Letters of Transmittal and surrender of shares • Issuing tax forms and filing tax information with the IRS, as required • Enclosing and mailing checks, Forms 1099-B and letters or notices to shareholders • Replacing checks alleged to have been lost or destroyed INFORMATION AGENT — TENDER OFFER

Appears in 5 contracts

Samples: Depositary and Information Agent Agreement (Tortoise Midstream Energy Fund, Inc.), Depositary and Information Agent Agreement (Tortoise Energy Infrastructure Corp), Depositary and Information Agent Agreement (Tortoise Energy Independence Fund, Inc.)

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SERVICES COVERED. DEPOSITARY — Tender Offer • Designating an operational team a project manager to carry out Depositary duties 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 Reviewing Enclosing and mailing offering materials to registered shareholders • Requesting banks/brokers/dealers listing from the Depositary Agreement Trust Company (DTC) • Contacting banks/brokers/dealers to inform them of the offering and other legal documents requesting the number of sets of materials they will require to distribute to their shareholders Interfacing with Xxxxxxxxx (Info Agent), 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 necessary requested through the fulfillment number Reviewing Establishing toll-free number to be include in the Communication Package (i.e., Letter of Transmittal (LT), enclosure letters prospectus and other documentation • Converting the Company shareholder files DTC’s electronic notice to Computershare’s corporate actions system • Coordinating tender offer with The Depository Trust and Clearing Corporation banks/brokers/dealers to facilitate tenders from brokers banks/brokers/dealers/shareholders telephone inquiries • Responding to banks/brokers/dealers/shareholders telephone and street shareholders correspondence inquiries • Tracking and reporting the number of telephone calls received and their nature • Receiving, opening and processing returned LTs LT • Curing defective LTsLT, including telephoning and writing shareholders in connection with unsigned or improperly executed LTs LT Xxxxxxxxx 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 the submitting shareholders, as follows: Agent shall forward up to 10 reports of tender activity by email beginning the last 2 weeks before the expiration to each of the parties named below as to the following information, based upon a preliminary review as of the close of business on the preceding business day: (i) the number of Shares tendered; (ii) the number of Shares tendered represented by certificates physically held by Agent; (iii) the number of Shares represented by Notices of Guaranteed Delivery; (iv) the number of Shares withdrawn; reconciling checks and (v) the cumulative totals of Shares in categories (i) through (iv) above. At the expiration of the offer Agent shall provide a master list of Shares elected, including a complete list of the electing stockholders. Agent can furnish to the Purchaser, upon reasonable request, additional daily or inter-day ad hoc reports, for an additional fee of $100.00 per report. • Xxxxxxxxxxx and issuing checks at the completion of the tender period, assuming receipt of properly executed Letters of Transmittal and surrender of shares share certifctaes • Issuing tax forms and filing tax information with the IRS, as required • Enclosing and mailing checks, Forms 1099-B 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 INFORMATION AGENT — TENDER OFFERdestroyed

Appears in 5 contracts

Samples: Form of Depositary Agreement (Evergreen Utilities & High Income Fund), Agent Agreement (Evergreen Utilities & High Income Fund), Information Agent Agreement (Evergreen Utilities & High Income Fund)

SERVICES COVERED. DEPOSITARY - Tender Offer § Designating an operational team to carry out Depositary duties § Reviewing the Depositary Agreement and other legal documents § Interfacing with Xxxxxxxxx Gxxxxxxxx (Info Agent), as necessary § Reviewing the Communication Package (i.e., Letter of Transmittal (LT), enclosure letters and other documentation § Converting the Company shareholder files to Computershare’s corporate actions system § Coordinating tender offer with The Depository Trust and Clearing Corporation to facilitate tenders from brokers and street shareholders § Receiving, opening and processing returned LTs § Curing defective LTs, including telephoning and writing shareholders in connection with unsigned or improperly executed LTs • Xxxxxxxxx § Canceling surrendered certificates § Tracking and reporting the number of shares submitted and the submitting shareholders, as follows: Agent shall forward up to 10 reports of tender activity by email beginning the last 2 weeks before the expiration to each of the parties named below as to the following information, based upon a preliminary review as of the close of business on the preceding business day: (i) the number of Shares tendered; (ii) the number of Shares tendered tended represented by certificates physically held by Agent; (iii) the number of Shares represented by Notices of Guaranteed Delivery; (iv) the number of Shares withdrawn; and (v) the cumulative totals of Shares in categories (i) through (iv) above. At the expiration of the offer Agent shall provide a master list lists of Shares elected, including a complete list of the electing stockholders. Agent can furnish to the Purchaser, upon reasonable request, additional daily or inter-day ad hoc reports, for an additional fee of $100.00 per report. • Xxxxxxxxxxx § Calculating and issuing checks at the completion of the tender period, assuming receipt of properly executed Letters of Transmittal and surrender of shares § Issuing tax forms and filing tax information with the IRS, as required § Enclosing and mailing checks, Forms 1099-B and letters or notices to shareholders § Replacing checks alleged to have been lost or destroyed INFORMATION AGENT TENDER OFFER

Appears in 3 contracts

Samples: Depositary and Information Agent Agreement (Tortoise Energy Infrastructure Corp), Depositary and Information Agent Agreement (Tortoise Pipeline & Energy Fund, Inc.), Depositary and Information Agent Agreement (Tortoise Midstream Energy Fund, Inc.)

SERVICES COVERED. DEPOSITARY - Tender Offer Designating an operational team to carry out Depositary duties Reviewing the Depositary Agreement and other legal documents Interfacing with Xxxxxxxxx (Info Agent), as necessary Reviewing the Communication Package (i.e., Letter of Transmittal (LT), enclosure letters and other documentation Converting the Company shareholder files to Computershare’s corporate actions system Coordinating tender offer with The Depository Trust and Clearing Corporation to facilitate tenders from brokers and street shareholders Receiving, opening and processing returned LTs Curing defective LTs, including telephoning and writing shareholders in connection with unsigned or improperly executed LTs • Xxxxxxxxx ■ Canceling surrendered certificates Tracking and reporting the number of shares submitted and the submitting shareholders, as follows: Agent shall forward up to 10 reports of tender activity by email beginning the last 2 3 weeks before the expiration to each of the parties named below as to the following information, based upon a preliminary review as of the close of business on the preceding business day: (i) the number of Shares tendered; (ii) the number of Shares tendered tended represented by certificates physically held by Agent; (iii) the number of Shares represented by Notices of Guaranteed Delivery; (iv) the number of Shares withdrawn; and (v) the cumulative totals of Shares in categories (i) through (iv) above. At the expiration of the offer Agent shall provide a master list lists of Shares elected, including a complete list of the electing stockholdersshareholders. Agent can furnish to the Purchaser, upon reasonable request, additional daily or inter-day ad hoc reports, for an additional fee of $100.00 per report. • Xxxxxxxxxxx ■ Calculating and issuing checks at the completion of the tender period, assuming receipt of properly executed Letters of Transmittal and surrender of shares Issuing tax forms and filing tax information with the IRS, as required Enclosing and mailing checks, Forms 1099-B and letters or notices to shareholders Replacing checks alleged to have been lost or destroyed INFORMATION AGENT TENDER OFFER

Appears in 3 contracts

Samples: Depositary and Information Agent Agreement (Delaware Enhanced Global Dividend & Income Fund), Depositary and Information Agent Agreement (Delaware Enhanced Global Dividend & Income Fund), Depositary and Information Agent Agreement (Delaware Enhanced Global Dividend & Income Fund)

SERVICES COVERED. DEPOSITARY - Tender Offer • Designating an operational team to carry out Depositary duties • Reviewing the Depositary Agreement and other legal documents • Interfacing with Xxxxxxxxx (Info Agent), as necessary • Reviewing the Communication Package (i.e., Letter of Transmittal (LT), enclosure letters and other documentation • Converting the Company shareholder files to Computershare’s corporate actions system • Coordinating tender offer with The Depository Trust and Clearing Corporation to facilitate tenders from brokers and street shareholders • Receiving, opening and processing returned LTs • Curing defective LTs, including telephoning and writing shareholders in connection with unsigned or improperly executed LTs • Xxxxxxxxx Canceling surrendered certificates • Tracking and reporting the number of shares submitted and the submitting shareholders, as follows: Agent shall forward up to 10 reports of tender activity by email beginning the last 2 weeks before the expiration to each of the parties named below as to the following information, based upon a preliminary review as of the close of business on the preceding business day: (i) the number of Shares tendered; (ii) the number of Shares tendered tended represented by certificates physically held by Agent; (iii) the number of Shares represented by Notices of Guaranteed Delivery; (iv) the number of Shares withdrawn; and (v) the cumulative totals of Shares in categories (i) through (iv) above. At the expiration of the offer Agent shall provide a master list lists of Shares elected, including a complete list of the electing stockholdersshareholders. Agent can furnish to the Purchaser, upon reasonable request, additional daily or inter-day ad hoc reports, for an additional fee of $100.00 per report. • Xxxxxxxxxxx Calculating and issuing checks at the completion of the tender period, assuming receipt of properly executed Letters of Transmittal and surrender of shares • Issuing tax forms and filing tax information with the IRS, as required • Enclosing and mailing checks, Forms 1099-B and letters or notices to shareholders • Replacing checks alleged to have been lost or destroyed INFORMATION AGENT TENDER OFFEROFFER BASE SERVICES • Advance review of Offer documents • Strategic advice relating to the Offer • Coordination of tombstone advertisement placement in newspapers • (cost for advertisement additional and dependent upon newspaper and size of advertisement) • Dissemination of Offer documents to bank and broker community • Communication with bank and broker community during Offer period • Outreach to Professional Investors • Communication with Depositary Agent to monitor progress of the offer • Provide progress updates to the advisory team ADDITIONAL/SUPPLEMENTAL SERVICES • Dedicated Toll-Free Number, Call Center Staffing and Training • Outbound communications to Registered/Retail Holders • Inbound communications to call center NOTE: The foregoing fees are exclusive of Expenses and custodial charges as described in paragraphs Article II, Sections 3 and 4 of this Agreement.

Appears in 1 contract

Samples: Depositary and Information Agent Agreement (Nuveen Mortgage Opportunity Term Fund)

SERVICES COVERED. DEPOSITARY — DEPOSITARY—Tender Offer • Designating an operational team to carry out Depositary duties • Reviewing the Depositary Agreement and other legal documents • Interfacing with Xxxxxxxxx (Info Agent), as necessary • Reviewing the Communication Package (i.e., Letter of Transmittal (LT), enclosure letters and other documentation • Converting the Company shareholder files to Computershare’s corporate actions system • Coordinating tender offer with The Depository Trust and Clearing Corporation to facilitate tenders from brokers and street shareholders • Receiving, opening and processing returned LTs • Curing defective LTs, including telephoning and writing shareholders in connection with unsigned or improperly executed LTs • Xxxxxxxxx Canceling surrendered certificates • Tracking and reporting the number of shares submitted and the submitting shareholders, as follows: Agent shall forward up to 10 reports of tender activity by email beginning the last 2 weeks before the expiration to each of the parties named below as to the following information, based upon a preliminary review as of the close of business on the preceding business day: (i) the number of Shares tendered; (ii) the number of Shares tendered tended represented by certificates physically held by Agent; (iii) the number of Shares represented by Notices of Guaranteed Delivery; (iv) the number of Shares withdrawn; and (v) the cumulative totals of Shares in categories (i) through (iv) above. At the expiration of the offer Agent shall provide a master list lists of Shares elected, including a complete list of the electing stockholdersshareholders. Agent can furnish to the Purchaser, upon reasonable request, additional daily or inter-day ad hoc reports, for an additional fee of $100.00 per report. • Xxxxxxxxxxx Calculating and issuing checks at the completion of the tender period, assuming receipt of properly executed Letters of Transmittal and surrender of shares • Issuing tax forms and filing tax information with the IRS, as required • Enclosing and mailing checks, Forms 1099-B and letters or notices to shareholders • Replacing checks alleged to have been lost or destroyed INFORMATION AGENT TENDER OFFEROFFER BASE SERVICES • Advance review of Offer documents • Strategic advice relating to the Offer • Coordination of tombstone advertisement placement in newspapers • (cost for advertisement additional and dependent upon newspaper and size of advertisement) • Dissemination of Offer documents to bank and broker community • Communication with bank and broker community during Offer period • Outreach to Professional Investors • Communication with Depositary Agent to monitor progress of the offer • Provide progress updates to the advisory team ADDITIONAL/SUPPLEMENTAL SERVICES • Dedicated Toll-Free Number, Call Center Staffing and Training • Outbound communications to Registered/Retail Holders • Inbound communications to call center NOTE: The foregoing fees are exclusive of Expenses and custodial charges as described in paragraphs Article II, Sections 3 and 4 of this Agreement.

Appears in 1 contract

Samples: Depositary and Information Agent Agreement (Nuveen Mortgage Opportunity Term Fund 2)

SERVICES COVERED. DEPOSITARY - Tender Offer • Designating an operational team to carry out Depositary duties • Reviewing the Depositary Agreement and other legal documents • Interfacing with Xxxxxxxxx (Info Agent), as necessary • Reviewing the Communication Package (i.e., Letter of Transmittal (LT), enclosure letters and other documentation • Converting the Company shareholder files to Computershare’s corporate actions system • Coordinating tender offer with The Depository Trust and Clearing Corporation to facilitate tenders from brokers and street shareholders • Receiving, opening and processing returned LTs • Curing defective LTs, including telephoning and writing shareholders in connection with unsigned or improperly executed LTs • Xxxxxxxxx Canceling surrendered certificates • Tracking and reporting the number of shares Shares submitted and the submitting shareholders, as follows: Agent shall forward up to 10 reports of tender activity by email beginning the last 2 weeks before the expiration to each of the parties named below as to the following information, based upon a preliminary review as of the close of business on the preceding business day: (i) the number of Shares tendered; (ii) the number of Shares tendered tended represented by certificates physically held by Agent; (iii) the number of Shares represented by Notices of Guaranteed Delivery; (iv) the number of Shares withdrawn; and (v) the cumulative totals of Shares in categories (i) through (iv) above. At the expiration of the offer Agent shall provide a master list lists of Shares elected, including a complete list of the electing stockholders. Agent can furnish to the Purchaser, upon reasonable request, additional daily or inter-day ad hoc reports, for an additional fee of $100.00 per report. • Xxxxxxxxxxx Calculating and issuing checks at the completion of the tender period, assuming receipt of properly executed Letters of Transmittal and surrender of shares Shares • Issuing tax forms and filing tax information with the IRS, as required • Enclosing and mailing checks, Forms 1099-B and letters or notices to shareholders • Replacing checks alleged to have been lost or destroyed INFORMATION AGENT TENDER OFFEROFFER BASE SERVICES • Advance review of Offer documents • Strategic advice relating to the Offer • Coordination of tombstone advertisement placement in newspapers • (cost for advertisement additional and dependent upon newspaper and size of advertisement) • Dissemination of Offer documents to bank and broker community • Communication with bank and broker community during Offer period • Outreach to Professional Investors • Communication with Depositary Agent to monitor progress of the offer • Provide progress updates to the advisory team ADDITIONAL/SUPPLEMENTAL SERVICES • Dedicated Toll-Free Number, Call Center Staffing and Training • Outbound communications to Registered/Retail Holders • Inbound communications to call center NOTE: The foregoing fees are exclusive of Expenses and custodial charges as described in paragraphs Article II, Sections 3 and 4 of this Agreement.

Appears in 1 contract

Samples: Depositary and Information Agent Agreement (Nuveen Taxable Municipal Income Fund)

SERVICES COVERED. DEPOSITARY — Tender Offer • Designating an operational team to carry out Depositary duties • Reviewing the Depositary Agreement subscription agent duties, including document review and other execution of legal documents • Interfacing with Xxxxxxxxx (Info Agent)agreement, as necessary • Reviewing the Communication Package (i.e.review of Subscription Form and communication materials, Letter of Transmittal (LT)project management, enclosure letters and other documentation on-going project updates and reporting • Converting the Company shareholder files BlackRock Corporate High Yield Fund, Inc. stockholder file to Computershare’s corporate actions system • Coordinating tender offer the offering with The Depository the Depositary Trust Company • Interfacing with the information agent • Calculating the rights to be distributed to each stockholder • Printing stockholder information on the Subscription Form • Coordinating the mailing of subscription materials to stockholders with the information agent • Send Event Announcement E-mails to eligible holders providing access instructions and Clearing Corporation codes to facilitate tenders from brokers enter the Website, as applicable • Providing a Website for eligible holders to submit their instructions and street shareholders • Receivingpayments, opening and processing returned LTs • Curing defective LTs, including telephoning and writing shareholders in connection with unsigned or improperly executed LTs • Xxxxxxxxx surrendered certificates if applicable • Tracking and reporting the number of shares submitted and the submitting shareholders, as follows: Agent shall forward up to 10 reports of tender activity by email beginning the last 2 weeks before the expiration to each of the parties named below as to the following information, based upon a preliminary review as of the close of business on the preceding business day: (i) the number of Shares tendered; (ii) the number of Shares tendered represented by certificates physically held by Agent; (iii) the number of Shares represented by Notices of Guaranteed Delivery; (iv) the number of Shares withdrawn; and (v) the cumulative totals of Shares in categories (i) through (iv) above. At the expiration of the offer Agent shall provide a master list of Shares elected, including a complete list of the electing stockholders. Agent can furnish to the Purchaser, upon reasonable request, additional daily or inter-day ad hoc reports, for an additional fee of $100.00 per report. • Xxxxxxxxxxx and issuing checks at the completion of the tender period, assuming receipt of properly executed Letters of Transmittal and surrender of shares • 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 1099if applicable C. ITEMS NOT COVERED • Items not specified in the “Services Covered” section set forth in this Agreement, 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 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 outside counsel • Additional charges may be assessed to Computershare for modifications, changes and edits to the website content document and/or the Offer Website, and will be passed through to Advisor, subject to Section 16 of the Agreement. • Special reporting requests (including, but not limited to, escheatment, reconciliation and audit reports) and requests to expedite processed items outside of our standard target of 7-B and letters or notices to shareholders • Replacing checks alleged to have been lost or destroyed INFORMATION AGENT — TENDER OFFER10-day turnaround time

Appears in 1 contract

Samples: Agent Agreement (Blackrock Corporate High Yield Fund, Inc.)

SERVICES COVERED. DEPOSITARY - Tender Offer Designating an operational team to carry out Depositary depositary duties Reviewing the Depositary this Agreement and other legal documents • Interfacing with Xxxxxxxxx (Info Agent), as necessary • Reviewing the Communication Package communication package (i.e.i.e. Offer to Purchase, Letter of Transmittal (LT), enclosure letters letter(s) and other documentation • documentation) ■ Enclosing and mailing Letters of Transmittal, notice to Shareholders, IRS Forms W-9s/W-8s, if applicable, and return envelopes, as applicable ■ Send Event Announcement E-mails to eligible holders providing access instructions and codes to enter the Website, as applicable. ■ Providing the Offer Web Site for eligible Shareholders to submit their tender instructions and the ability to amend or withdrawal previously submitted instructions according to the Offer terms for thirty (30) calendar days commencing from the launch of the Offer Website. Any extension(s) of the above referenced time period may require additional fees. ■ Interfacing with Xxxxxxxxx, as necessary ■ Converting the Company Purchaser’s shareholder files records to Computershare’s corporate actions system • system, if necessary ■ Establish post office boxes for receipt of Offer materials ■ Coordinate mailing of Offer materials to shareholders with Xxxxxxxxx ■ Coordinating tender offer the Offer with The Depository the Depositary Trust and Clearing Corporation ■ Receiving and opening Shares physically tendered ■ Tabulation and inclusion into the Offer, of Electronic Instructions received via the Offer Web Site ■ Upfront review of Shares tendered to facilitate tenders from brokers ensure presentment of certificates and street shareholders • Receivinglegal documents, opening and processing returned LTs • when applicable ■ Curing defective LTs, including telephoning and writing shareholders in connection with unsigned or improperly executed LTs ■ Responding to shareholder telephone and correspondence inquiries ■ mailing of proper documentation to shareholders whose certificates are alleged to have been lost, stolen, or destroyed, in order to effect the exchange without certificate surrender ■ Xxxxxxxxx surrendered certificates Tracking and reporting the number of shares Shares submitted and the submitting shareholders, as follows: Agent shall forward up to 10 reports of tender activity by email beginning the last 2 weeks before the expiration to each of the parties named below as to the following information, based upon a preliminary review as of the close of business on the preceding business day: (i) the number of Shares tendered; (ii) the number of Shares tendered represented by certificates physically held by Agent; (iii) the number of Shares represented by Notices of Guaranteed Delivery; (iv) the number of Shares withdrawn; and (v) the cumulative totals of Shares in categories (i) through (iv) above. At the expiration of the offer Offer Agent shall provide a master list of Shares elected, including a complete list of the electing stockholdersshareholders. Agent can furnish to the Purchaser, upon reasonable request, additional daily or inter-day ad hoc reports, for an additional fee of $100.00 per report. ■ Prorating tendered Shares, if applicable ■ Xxxxxxxxxxx and issuing checks at the completion upon expiration of the tender period, assuming receipt of properly executed Letters of Transmittal and surrender of shares • certificates ■ Coordinating the cancellation of tendered Shares and the reissuance of Shares not accepted in the Offer ■ Issuing tax forms and filing tax information with the IRS, as required Enclosing and mailing checks, Forms 1099-B B, and letters or notices to shareholders Replacing checks alleged to have been lost or destroyed INFORMATION AGENT TENDER OFFEROFFER BASE SERVICES ■ Advance review of Offer documents ■ Strategic advice relating to the Offer ■ Dissemination of Offer documents to bank and broker community ■ Communication with bank and broker community during Offer period ■ Outreach to professional investors ■ Communication with Agent to monitor progress of the Offer ■ Provide progress updates to the advisory team

Appears in 1 contract

Samples: Depositary and Information Agent Agreement (Delaware Enhanced Global Dividend & Income Fund)

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SERVICES COVERED. DEPOSITARY - Tender Offer Designating an operational team to carry out Depositary duties Reviewing the Depositary Agreement and other legal documents Interfacing with Xxxxxxxxx (Info Agent), as necessary Reviewing the Communication Package (i.e., Letter of Transmittal (LT), enclosure letters and other documentation Converting the Company Purchaser shareholder files to Computershare’s corporate actions system Coordinating tender offer with The Depository Trust and Clearing Corporation to facilitate tenders from brokers and street shareholders Receiving, opening and processing returned LTs Curing defective LTs, including telephoning and writing shareholders in connection with unsigned or improperly executed LTs • Xxxxxxxxx ■ Canceling surrendered certificates Tracking and reporting the number of shares submitted and the submitting shareholders, as follows: Agent shall forward up to 10 reports of tender activity by email beginning the last 2 weeks before the expiration to each of the parties named below as to the following information, based upon a preliminary review as of the close of business on the preceding business day: (i) the number of Shares tendered; (ii) the number of Shares tendered tended represented by certificates physically held by Agent; (iii) the number of Shares represented by Notices of Guaranteed Delivery; (iv) the number of Shares withdrawn; and (v) the cumulative totals of Shares in categories (i) through (iv) above. At the expiration of the offer Agent shall provide a master list lists of Shares elected, including a complete list of the electing stockholders. Agent can furnish to the Purchaser, upon reasonable request, additional daily or inter-day ad hoc reports, for an additional fee of $100.00 per report. • Xxxxxxxxxxx ■ Calculating and issuing checks at the completion of the tender period, assuming receipt of properly executed Letters of Transmittal and surrender of shares Issuing tax forms and filing tax information with the IRS, as required Enclosing and mailing checks, Forms 1099-B and letters or notices to shareholders Replacing checks alleged to have been lost or destroyed INFORMATION AGENT TENDER OFFER

Appears in 1 contract

Samples: Depositary and Information Agent Agreement (Delaware Investments Dividend & Income Fund, Inc)

SERVICES COVERED. DEPOSITARY - Tender Offer Designating an operational team to carry out Depositary duties Reviewing the Depositary Agreement and other legal documents Interfacing with Xxxxxxxxx Gxxxxxxxx (Info Agent), as necessary Reviewing the Communication Package (i.e., Letter of Transmittal (LT), enclosure letters and other documentation Converting the Company shareholder files to Computershare’s corporate actions system Coordinating tender offer with The Depository Trust and Clearing Corporation to facilitate tenders from brokers and street shareholders Receiving, opening and processing returned LTs Curing defective LTs, including telephoning and writing shareholders in connection with unsigned or improperly executed LTs • Xxxxxxxxx ▪ Cxxxxxxxx surrendered certificates Tracking and reporting the number of shares submitted and the submitting shareholders, as follows: Agent shall forward up to 10 reports of tender activity by email beginning the last 2 weeks before the expiration to each of the parties named below as to the following information, based upon a preliminary review as of the close of business on the preceding business day: (i) the number of Shares tendered; (ii) the number of Shares tendered tended represented by certificates physically held by Agent; (iii) the number of Shares represented by Notices of Guaranteed Delivery; (iv) the number of Shares withdrawn; and (v) the cumulative totals of Shares in categories (i) through (iv) above. At the expiration of the offer Agent shall provide a master list lists of Shares elected, including a complete list of the electing stockholders. Agent can furnish to the Purchaser, upon reasonable request, additional daily or inter-day ad hoc reports, for an additional fee of $100.00 per report. • Xxxxxxxxxxx ▪ Cxxxxxxxxxx and issuing checks at the completion of the tender period, assuming receipt of properly executed Letters of Transmittal and surrender of shares Issuing tax forms and filing tax information with the IRS, as required Enclosing and mailing checks, Forms 1099-B and letters or notices to shareholders Replacing checks alleged to have been lost or destroyed INFORMATION AGENT TENDER OFFER

Appears in 1 contract

Samples: Depositary and Information Agent Agreement (Tortoise Power & Energy Infrastructure Fund Inc)

SERVICES COVERED. DEPOSITARY — Tender Offer • Designating an operational team a project manager to carry out 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 duties Trust Company Reviewing the Depositary Agreement and other legal documents • Interfacing with Xxxxxxxxx Printing scannable Conversion Forms (Info Agent“LTs”) that include shareholders’ name(s), as necessary • Reviewing the Communication Package (i.e., Letter of Transmittal (LTaddress(es), enclosure letters certificate numbers, number of shares and other documentation affidavits of loss Converting the Company shareholder files Enclosing and mailing LTs, notice to Computershare’s corporate actions system • Coordinating tender offer with The Depository Trust shareholders and Clearing Corporation to facilitate tenders from brokers and street shareholders return envelopes • Receiving, opening and processing returned LTs • Curing defective LTs, including telephoning and writing shareholders in connection with unsigned or improperly executed LTs • Xxxxxxxxx Canceling surrendered Class B Shares and certificates • Tracking and reporting the number of shares Class B Shares submitted and the submitting shareholders, as follows: Agent shall forward up to 10 reports required • Collecting and tracking Ownership Certifications from each holder of tender activity by email beginning Class B Shares submitted for conversion • Calculating, issuing, and reconciling the last 2 weeks before the expiration to each of the parties named below as to the following information, based Class A Shares issued upon a preliminary review as of the close of business on the preceding business day: (i) the number of Shares tendered; (ii) the number of Shares tendered represented by certificates physically held by Agent; (iii) the number of Shares represented by Notices of Guaranteed Delivery; (iv) the number of Shares withdrawn; and (v) the cumulative totals of Shares in categories (i) through (iv) above. At the expiration of the offer Agent shall provide a master list of Shares elected, including a complete list of the electing stockholders. Agent can furnish to the Purchaser, upon reasonable request, additional daily or inter-day ad hoc reports, for an additional fee of $100.00 per report. • Xxxxxxxxxxx and issuing checks at the completion of the tender period, assuming receipt of properly executed Letters of Transmittal LTs and surrender of shares the Preferred Share certificates • Calculating, issuing, and reconciling cash in lieu of fractional share checks • Issuing tax forms and filing tax information with the IRS, as required • Enclosing and mailing the Class A Shares, checks, IRS Forms 1099-B and letters or notices to shareholders • Responding to shareholder telephone and correspondence inquiries • Replacing checks alleged to have been lost or destroyed INFORMATION AGENT — TENDER OFFERdestroyed

Appears in 1 contract

Samples: Voluntary Conversion Agent Agreement (iHeartMedia, Inc.)

SERVICES COVERED. DEPOSITARY — Tender Offer • Designating an operational team to carry out Depositary duties • Reviewing the Depositary Agreement subscription agent duties, including document review and other execution of legal documents • Interfacing with Xxxxxxxxx (Info Agent)agreement, as necessary • Reviewing the Communication Package (i.e.review of subscription form and communication materials, Letter of Transmittal (LT)event management, enclosure letters and other documentation on-going event updates and reporting • Converting the Company XXX shareholder files file to Computershare’s corporate actions system • Coordinating tender offer the offering with The Depository the Depositary Trust and Clearing Corporation Company • Interfacing with the information agent • Calculating the rights to facilitate tenders from brokers and street be distributed to each shareholder • Printing shareholder information on the subscription form • Coordinating the mailing of subscription materials to shareholders • Receiving, opening and processing returned LTs • Curing defective LTs, including telephoning and writing shareholders in connection with unsigned or improperly executed LTs • Xxxxxxxxx surrendered certificates the information agent • Tracking and reporting the number of shares submitted and the submitting shareholders, as follows: Agent shall forward up to 10 reports of tender activity by email beginning the last 2 weeks before the expiration to each of the parties named below as to the following information, based upon a preliminary review as of the close of business on the preceding business day: (i) the number of Shares tendered; (ii) the number of Shares tendered represented by certificates physically held by Agent; (iii) the number of Shares represented by Notices of Guaranteed Delivery; (iv) the number of Shares withdrawn; and (v) the cumulative totals of Shares in categories (i) through (iv) above. At the expiration of the offer Agent shall provide a master list of Shares elected, including a complete list of the electing stockholders. Agent can furnish to the Purchaser, upon reasonable request, additional daily or inter-day ad hoc reports, for an additional fee of $100.00 per report. • Xxxxxxxxxxx and issuing checks at the completion of the tender period, assuming receipt of properly executed Letters of Transmittal and surrender of shares • 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 XXX 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 1099if applicable Subscription Agent Agreement FINAL XXX.docx Page 29 C. ITEMS NOT COVERED • Items not specified in the “Services Covered” section set forth in this Agreement, 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, Event Management services, rendered outside of normal business hours (i.e. 6:00 p.m. - 8:00 a.m. Monday through Friday, weekends, and 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 outside counsel • Special reporting requests (including, but not limited to, escheatment, reconciliation and audit reports) and requests to expedite processed items outside of our standard target of 7-B and letters or notices to shareholders • Replacing checks alleged to have been lost or destroyed INFORMATION AGENT — TENDER OFFER10 day turnaround time

Appears in 1 contract

Samples: Subscription Agent Agreement (Western Asset High Income Fund Ii Inc.)

SERVICES COVERED. DEPOSITARY - Tender Offer Designating an operational team to carry out Depositary duties Reviewing the Depositary Agreement and other legal documents Interfacing with Xxxxxxxxx (Info Agent), as necessary Reviewing the Communication Package (i.e., Letter of Transmittal (LT), enclosure letters and other documentation Converting the Company shareholder files to Computershare’s corporate actions system Coordinating tender offer with The Depository Trust and Clearing Corporation to facilitate tenders from brokers and street shareholders Receiving, opening and processing returned LTs Curing defective LTs, including telephoning and writing shareholders in connection with unsigned or improperly executed LTs Xxxxxxxxx surrendered certificates Tracking and reporting the number of shares submitted and the submitting shareholders, as follows: Agent shall forward up to 10 reports of tender activity by email beginning the last 2 weeks before the expiration to each of the parties named below as to the following information, based upon a preliminary review as of the close of business on the preceding business day: (i) the number of Shares tendered; (ii) the number of Shares tendered tended represented by certificates physically held by Agent; (iii) the number of Shares represented by Notices of Guaranteed Delivery; (iv) the number of Shares withdrawn; and (v) the cumulative totals of Shares in categories (i) through (iv) above. At the expiration of the offer Agent shall provide a master list lists of Shares elected, including a complete list of the electing stockholders. Agent can furnish to the Purchaser, upon reasonable request, additional daily or inter-day ad hoc reports, for an additional fee of $100.00 per report. Xxxxxxxxxxx and issuing checks at the completion of the tender period, assuming receipt of properly executed Letters of Transmittal and surrender of shares Issuing tax forms and filing tax information with the IRS, as required Enclosing and mailing checks, Forms 1099-B and letters or notices to shareholders Replacing checks alleged to have been lost or destroyed INFORMATION AGENT TENDER OFFER

Appears in 1 contract

Samples: Information Agent Agreement (Tortoise Energy Independence Fund, Inc.)

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