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)), 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)), 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 (Title III of Pub. L. 107-56 (signed into law October 26, 2001)), the Placement Agents 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 Placement Agents to properly identify their respective clients.
Compliance with USA Patriot Act. In accordance with the requirements of the USA PATRIOT Act, 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)), 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/ Xxxx XxXxxxxxx Name: Xxxx XxXxxxxxx Title: Executive Director As Representative of the Several Underwriters named in Schedule I hereto Confirmed and accepted as of the date first above mentioned: CREDIT SUISSE SECURITIES (USA) LLC By: /s/ Xxxx Xxxxxxxxxx Name: Xxxx Xxxxxxxxxx Title: Managing Director As Representative of the Several Underwriters named in Schedule I hereto SCHEDULE I Underwriting Agreement dated January 8, 2019 Underwriters Number of Firm Securities to be Purchased Xxxxxx Xxxxxxx & Co. LLC 3,213,000 Credit Suisse Securities (USA) LLC 1,512,000 Barclays Capital Inc. 1,197,000 Deutsche Bank Securities Inc. 1,197,000 X.X. Xxxxxx Securities, LLC 1,197,000 Xxxxx, Xxxxxxxx & Xxxxx, Inc. 1,197,000 RBC Capital Markets, LLC 1,197,000 UBS Securities LLC 1,197,000 Xxxxxxx Xxxxx & Associates, Inc. 693,000 Total 12,600,000 SCHEDULE 1(j) Entity Company Ownership Kiawah River View Investors LLC 50.00 % The Clusters, LLC 38.67 % 36 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 NYMT Loan Trust 2016-RP1, LLC NYMT Residential 2016-RP1, LLC NYMT Residential Tax 2016-RP1, LLC RB Commercial Trust Series 2012-RS1 SCHEDULE II Issuer General-Use Free Writing Prospectus None. SCHEDULE III Pricing and Other Information 12,600,000 shares at a public offering price of $5.96 per share with an underwriting discount of $0.16 per share with an option to purchase up to 1,890,000 additional shares at that same price and discount.
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 Underwriters, the Forward Sellers and the Forward Purchasers are required to obtain, verify and record information that identifies their clients, including the Company, which information may include the name and address of their clients, as well as other information that will allow the Underwriters, the Forward Sellers and the Forward Purchasers to properly identify their 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. 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. If the foregoing is in accordance with the Underwriters’ understanding of our agreement, kindly sign and return to the Company one of the counterparts hereof, whereupon it will become a binding agreement among the Company and the Underwriters in accordance with its terms. Very truly yours, BUILDERS FIRSTSOURCE, INC. By: /s/ Xxxxxx XxXxxxxxx Name: Xxxxxx XxXxxxxxx Title: Senior Vice President WARBURG PINCUS PRIVATE EQUITY IX, L.P. 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. CREDIT SUISSE SECURITIES (USA) LLC By: /s/ Xxxx X. Xxxxxxxx Name: Xxxx X. Xxxxxxxx Title: Director By: /s/ Xxxxxxx Xxxxxxxxx Name: Xxxxxxx Xxxxxxxxx Title: Managing Director DEUTSCHE BANK SECURITIES INC. By: /s/ Xxxx Xxxxxxxx Name: Xxxx Xxxxxxxx Title: Managing Director By: /s/ Xxxxxxx Xxxxxxx Name: Xxxxxxx Xxxxxxx Title: Managing Director SCHEDULE A Underwriter Total Number of Securities to be Purchased Credit Suisse Securities (USA) LLC 6,631,633 Deutsche Bank Securities Inc. 6,631,633 Total 13,263,266 SCHEDULE B Other Information Included in the General Disclosure Package The following information is also included in the General Disclosure Package:
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. If the foregoing is in accordance with your understanding of our agreement, please sign and return to the Company a counterpart hereof, whereupon this instrument, along with all counterparts, will become a binding agreement among the Underwriters and the Company in accordance with its terms. Very truly yours, SOUTHWESTERN ENERGY COMPANY By: /s/ R. Xxxxx Xxxx Title: Senior Vice President and Chief Financial Officer CONFIRMED AND ACCEPTED, as of the date first above written: By: XXXXXXX LYNCH, PIERCE, XXXXXX & XXXXX INCORPORATED By: /s/ Xxxxxxx Xxxxx Xxx Xxxxx Authorized Signatory For itself and as Representative of the other Underwriters named in Schedule A hereto. [Signature Page to Underwriting Agreement] SCHEDULE A The initial public offering price per share for the Securities shall be $23.00 The purchase price per share for the Securities to be paid by the several Underwriters shall be $22.31, being an amount equal to the initial public offering price set forth above less $0.69 per share, subject to adjustment in accordance with Section 2(b) for dividends or distributions declared by the Company and payable on the Initial Securities but not payable on the Option Securities. Name of Underwriter Number of Initial Securities Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated 10,017,396 Citigroup Global Markets Inc. 2,934,784 X.X. Xxxxxx Securities LLC 2,934,784 Xxxxx Fargo Securities, LLC 2,934,784 BMO Capital Markets Corp. 847,826 BNP Paribas Securities Corp. 521,739 Mitsubishi UFJ Securities (USA), Inc. 521,739 Mizuho Securities USA Inc. 639,130 RBS Securities Inc. 913,043 SMBC Nikko Securities America, Inc. 639,130 BBVA Securities Inc. 352,173 Credit Agricole Securities (USA) Inc. 352,173 RBC Capital Markets, LLC 339,130 CIBC World Markets Corp. 208,695 SG Americas Securities, LLC 208,695 BB&T Capital Markets, a division of BB&T Securities, LLC 143,478 Comerica Securities, Inc. 143,478 Fifth Third Securities, Inc. 143,478 Xxxxxxxxx Energy Securities, LLC 143,478 HSBC Securities (USA) Inc. 143,478 KeyBanc Capital...
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 Managers 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 Managers to properly identify their respective clients.
