TO BE COMPLETED BY DISTRIBUTOR OR TRANSFER AGENT Sample Clauses

TO BE COMPLETED BY DISTRIBUTOR OR TRANSFER AGENT. This certifies that the above order has been: Accepted by the Distributor (in the case of creations) Declined-Reason: Date Time Authorized Signature
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TO BE COMPLETED BY DISTRIBUTOR OR TRANSFER AGENT. This certifies that the above order has been: ___________ Accepted by the Distributor ___________ Accepted by the Transfer Agent ___________ Declined - Reason: ________________________________________________ Date Time Authorized Signature ANNEX I-B FUNDS FLOW PROCESS This Annex I-B supplements the Prospectus with respect to the procedures to be used by the Distributor and the Transfer Agent in processing an order for the creation or redemption of Baskets.
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TO BE COMPLETED BY DISTRIBUTOR OR TRANSFER AGENT. This certifies that the above order has been: ☐ Accepted by the Distributor/Transfer Agent ☐ Declined-Reason: ______________________________________ Date___________ Time________(ET) Authorized Signature__________________________________ ANNEX III – PART A TO AUTHORIZED PARTICIPANT AGREEMENT FORM OF LIST OF CERTIFIED AUTHORIZED PERSONS OF THE AUTHORIZED PARTICIPANT The following are the names, titles, signatures , phone numbers, and email addresses of all persons (each an “Authorized Person”) authorized to give instructions relating to any activity contemplated by this Authorized Participant Agreement for the Columbia ETF Trust II Funds (the “Agreement”) or any other notice, request or instruction on behalf of the Authorized Participant pursuant to the Agreement. Authorized Participant: Name: Name: Title: Title: Signature: Signature: Phone: Phone: Email: Email: Name: Name: Title: Title: Signature: Signature: Phone: Phone: Email: Email: Name: Name: Title: Title: Signature: Signature: Phone: Phone: Email: Email: Date: Certified By: _________________ Name: ______________________ Title: ______________________ DTC Participant Number:________________ ANNEX III- PART B TO AUTHORIZED PARTICIPANT AGREEMENT [On AP’s Firm Letterhead] [DATE] The Bank of New York Mellon ALPS DISTRIBUTORS, Inc. Attn: ETF Services [___________] New York, NY [_____] Re: Addendum to the Certificate of Authorized Persons for [Name of AP] under the Authorized Participant Agreement for the Columbia ETF Trust II Funds (the “Agreement”) Ladies and Gentlemen: Pursuant to the Agreement, following are the names, titles, signatures, phone numbers, and email addresses of additional Authorized Persons (as defined in the Agreement) of [Name of AP] (the “AP”) authorized to give instructions relating to any activity contemplated by the Agreement or any other notice, request or instruction on behalf of the AP pursuant to the Agreement. This list of Authorized Persons is an addendum and adds Authorized Persons to the AP’s most recently executed certificate (entitled “Certified Authorized Persons of the Authorized Participant, Columbia ETF Trust II Funds”) preceding the date set forth above. Name: Name: Title: Title: Signature: Signature: Phone: Phone: Email: Email: Name : Name : Title: Title: Signature: Signature: Phone: Phone: Email: Email: Please provide PINs for such Authorized Persons who are not already established in the ETF Administrator’s system. Very truly yours, ANNEX IV TO AUTHORIZED PARTICIPANT...
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TO BE COMPLETED BY DISTRIBUTOR OR TRANSFER AGENT. This certifies that the above order has been: Accepted by the Distributor Accepted by the Transfer Agent Declined — Reason: Date Time Authorized Signature ANNEX 1-C TO AUTHORIZED PARTICIPANT AGREEMENT FOR GREENHAVEN CONTINUOUS COMMODITY INDEX FUND GREENHAVEN CONTINUOUS COMMODITY INDEX FUND FUNDS FLOW PROCESS This Annex 1-C supplements the Fund’s Prospectus with respect to the procedures to be used by the Distributor and the Transfer Agent in processing an order for the creation or redemption of the Units.
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Related to TO BE COMPLETED BY DISTRIBUTOR OR TRANSFER AGENT

  • Indemnification by the Holders and any Agents and Underwriters The Company may require, as a condition to including any Registrable Securities in any registration statement filed pursuant to Section 2(b) hereof and to entering into any underwriting agreement with respect thereto, that the Company shall have received an undertaking reasonably satisfactory to it from the Electing Holder of such Registrable Securities and from each underwriter named in any such underwriting agreement, severally and not jointly, to (i) indemnify and hold harmless the Company, the Guarantors, and all other holders of Registrable Securities, against any losses, claims, damages or liabilities to which the Company, the Guarantors or such other holders of Registrable Securities may become subject, under the Securities Act or otherwise, insofar as such losses, claims, damages or liabilities (or actions in respect thereof) arise out of or are based upon an untrue statement or alleged untrue statement of a material fact contained in such registration statement, or any preliminary, final or summary prospectus contained therein or furnished by the Company to any such Electing Holder, agent or underwriter, or any amendment or supplement thereto, or arise out of or are based upon the omission or alleged omission to state therein a material fact required to be stated therein or necessary to make the statements therein not misleading, in each case to the extent, but only to the extent, that such untrue statement or alleged untrue statement or omission or alleged omission was made in reliance upon and in conformity with written information furnished to the Company by such Electing Holder or underwriter expressly for use therein, and (ii) reimburse the Company and the Guarantors for any legal or other expenses reasonably incurred by the Company and the Guarantors in connection with investigating or defending any such action or claim as such expenses are incurred; provided, however, that no such Electing Holder shall be required to undertake liability to any person under this Section 6(b) for any amounts in excess of the dollar amount of the proceeds to be received by such Electing Holder from the sale of such Electing Holder’s Registrable Securities pursuant to such registration.

  • Concerning the Holders Section 8.01. Action by Holders 44 Section 8.02. Proof of Execution by Holders 44 Section 8.03. Who Are Deemed Absolute Owners 44 Section 8.04. Company-Owned Notes Disregarded 45 Section 8.05. Revocation of Consents; Future Holders Bound 45

  • Concerning the Rights Agent (a) The Company agrees to pay to the Rights Agent reasonable compensation for all services rendered by it hereunder and, from time to time, on demand of the Rights Agent, its reasonable expenses and counsel fees and disbursements and other disbursements incurred in the administration and execution of this Agreement and the exercise and performance of its duties hereunder. The Company also agrees to indemnify the Rights Agent for, and to hold it harmless against, any loss, liability, or expense, incurred without negligence, bad faith or willful misconduct on the part of the Rights Agent, for anything done or omitted by the Rights Agent in connection with the acceptance and administration of this Agreement, including the costs and expenses of defending against any claim of liability in the premises.

  • Right to Redeem; Notices to Trustee 20 SECTION 3.02 Selection of Securities to Be Redeemed...........................20 SECTION 3.03

  • Notices to Warrant Holder Nothing contained in this Agreement shall be construed as conferring upon the Holder the right to vote or to consent or to receive notice as a stockholder in respect of any meetings of stockholders for the election of directors or any other matter, or as having any rights whatsoever as a stockholder of the Company. If, however, at any time prior to the expiration of the Warrants and their exercise, any of the following events shall occur:

  • Provisions Concerning the Escrow Agent 10.1. This Escrow Agreement sets forth, exclusively, the duties of the Escrow Agent and no additional duties or obligations shall be inferred herefrom or implied hereby.

  • Notices to Warrantholder Upon the happening of any event requiring an adjustment of the Warrant Price, the Company shall promptly give written notice thereof to the Warrantholder at the address appearing in the records of the Company, stating the adjusted Warrant Price and the adjusted number of Warrant Shares resulting from such event and setting forth in reasonable detail the method of calculation and the facts upon which such calculation is based. Failure to give such notice to the Warrantholder or any defect therein shall not affect the legality or validity of the subject adjustment.

  • Concerning the Escrow Agent 6.1. The Escrow Agent undertakes to perform only such duties as are expressly set forth herein and no implied duties or obligations shall be read into this Agreement against the Escrow Agent.

  • CONCERNING THE DEBENTUREHOLDERS 44 10.1 Evidence of Action by Holders..............................................................44 10.2 Proof of Execution by Debentureholders.....................................................45 10.3 Who May be Deemed Owners...................................................................45 10.4 Certain Debentures Owned by Company Disregarded............................................46 10.5 Actions Binding on Future Debentureholders.................................................46 ARTICLE XI

  • Notices to Warrant Holders Nothing contained in this Agreement shall be construed as conferring upon the Holder or Holders the right to vote or to consent or to receive notice as a shareholder in respect of any meetings of shareholders for the election of directors or any other matter, or as having any rights whatsoever as a shareholder of the Company. If, however, at any time prior to the expiration of the Warrants and their exercise, any of the following events shall occur:

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