Issue Replacement Certificates Sample Clauses

Issue Replacement Certificates. 9. Reporting of abandoned property.
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Issue Replacement Certificates. 9. Reporting of abandoned property. 10. Maintain records of account. 11. Maintain and keep a current and accurate control book for each issue of securities. 12. Mail proxies. 13. Mail Shareholder reports. 14. Mail prospectuses to current Shareholders. 15. Withhold taxes on U.S. resident and non-resident alien accounts. Service Performed Responsibility Bank Fund 16. Prepare and file U.S. Treasury Department forms. 17. Prepare and mail account and confirmation statements for Shareholders. 18. Provide Shareholder account information. 19. Blue sky reporting. * Such services are more fully described in Article 1.02 (a), (b) and (c) of the Agreement. LEXINGTON SMALLCAP VALUE FUND, INC.
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Issue Replacement Certificates. N/A 9. Reporting of abandoned property. Yes 10. Maintain records of account. Yes 11. Maintain and keep a current and N/A accurate control book for each issue of securities. 12. Mail proxies. N/A 13. Mail Shareholder reports. N/A 14. Mail prospectuses to current N/A Shareholders. 15. Withhold taxes on U.S. resident N/A and non-resident alien accounts. Service Performed Responsibility ----------------- -------------- Bank Fund ---- ---- 16. Prepare and file U.S. Treasury N/A Department forms. 17. Prepare and mail account and Yes confirmation statements for Shareholders. 18. Provide Shareholder account Yes information. 19. Blue sky reporting. N/A * Such services are more fully described in Section 1.2 (a), (b) and (c) of the Agreement. SUN CAPITAL ADVISERS TRUST BY: /s/ Xxxxxx X. Xxxxxx ------------------------------------ Name: Xxxxxx X. Xxxxxx Title: Treasurer
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Issue Replacement Certificates. N/A 9. Reporting of abandoned property. X 10. Maintain records of account. X 11. Maintain and keep a current and X accurate control book for each issue of securities. 12. Mail proxies. X 13. Mail Shareholder reports. X 14. Mail prospectuses to current X Shareholders. 15. Withhold taxes on U.S. resident X and non-resident alien accounts. Service Performed Responsibility ----------------- -------------- Bank Fund ---- ---- 16. Prepare and file U.S. Treasury X Department forms.
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Issue Replacement Certificates. 9. Reporting of abandoned property. * 10. Maintain records of account. * 11. Maintain and keep a current and accurate control * book for each issue of securities. 12. Mail proxies. * 13. Mail Shareholder reports. * 14. Mail prospectuses to current Shareholders. * 15. Withhold taxes on U.S. resident and non-resident alien accounts. * 16. Prepare and file U.S. Treasury Department forms. * * 17. Prepare and mail account and confirmation statements for Shareholders. 18. Provide Shareholder account information. * 19. Blue sky reporting. * * Such services are more fully described in Section 1.2(a), (b) and (c) of the Agreement. THE ARBOR FUND By: /s/ Xxxxxxx X. Xxxxx ----------------------- Vice President ATTEST: /s/ Xxxxxx Xxxxxx ----------------- XXXXXXX BANK AND TRUST By: /s/ illegible signature ----------------------- ATTEST: /s/ illegible signature ----------------------- 12 Fee Information for Services as Plan, Transfer and Dividend Disbursing Agent THE ARBOR FUND The Fund shall pay a fee of $5,000 per class of each Portfolio per year. Fees are payable on a monthly basis. Out-of-Pocket Expenses Out-of-Pocket expenses will be billed to, and payable by, the Fund as incurred and include but are not limited to: confirmation statements, investor statements, postage, forms, audio response, telephone, records retention, federal wire, transcripts, microfilm, microfiche, and expenses incurred at the specific direction of the fund. THE ARBOR FUND XXXXXXX BANK AND TRUST
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Issue Replacement Certificates. 9. Reporting of abandoned property. ------------------------------------------------------------------------------- ------------------ ----------------- ------------------------------------------------------------------------------- ------------------ -----------------
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Issue Replacement Certificates. 9. Reporting of abandoned property. * 10. Maintain records of account. * 11. Maintain and keep a current and accurate * control book for each issue of securities. 12. Mail proxies. * 13. Mail Shareholder reports. * 14. Mail prospectuses to current Shareholders. * 15. Withhold taxes on U.S. resident and * non-resident alien accounts. 16. Prepare and file U.S. Treasury Department * * forms. 17. Prepare and mail account and confirmation * statements for Shareholders. 18. Provide Shareholder account information. * 19. Blue sky reporting. * * Such services are more fully described in Section 1.2(a), (b) and (c) of the Agreement. CONSECO FUND GROUP By: /s/ Xxxxxxx X. Xxxxxxx --------------------------- President ATTEST: /s/ Xxxxxxx X. Xxxxxxx ---------------------------------- STATE STREET BANK AND TRUST COMPANY By: /s/ Xxxxxx X. Xxxxx ----------------------------- Executive Vice President ATTEST: /s/ Xxxxxxxx Xxxxx ---------------------- Fee Information for Services as Plan, Transfer and Dividend Disbursing Agent CONSECO FUND GROUP ANNUAL ACCOUNT SERVICE FEES Daily Dividend Fund $ 14.00 Non-Daily Dividend Fund $ 12.00 Closed Account Fee $ 1.50 Minimum Fee (per Fund with 2 Classes) $60,000 Each class is considered a fund and will be billed accordingly. Fees are billable on a monthly basis at the rate of 1/12 of the annual fee. A charge is made for an account in the month that an account opens or closes. Account service fees are the higher of: open account charges plus closed account charges or the fund minimum. This fee schedule assumes 4 funds with 2 classes. Additional funds or classes will be subject to renegotiation. ACTIVITY BASED FEES New Account Set-up $ 5.00/each Manual Transactions $ 1.50/each Telephone Calls $ 2.50/each Correspondence $ 1.50/each Research Requests $ 1.50/each BANKING SERVICES Checkwriting Setup $ 5.00 Checkwriting (per draft) $ 1.00 ACH $ .35 OTHER FEES Investor Processing $ 1.80/Investor 12b-1 Commissions $ 1.20/account THIRD PARTY INTERFACE $10,000/Annually/per interface XXX CUSTODIAL FEES Acceptance & Setup $ 5.00/account Annual Maintenance $ 10.00/account OUT-OF-POCKET EXPENSES Billed as incurred ---------------------- Out-of-Pocket expenses include but are not limited to: confirmation statements, investor statements, postage, forms, audio response, telephone, records retention, federal wire, transcripts, microfilm, microfiche, and expenses incurred at the specific direction of the fund. CONSECO FUND GROUP STATE STREET BANK AND TRU...
Sample 1
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Issue Replacement Certificates. N/A 9. Reporting of abandoned property. X 10. Maintain records of account. X 11. Maintain and keep a current and accurate control book for X each issue of securities. 12. Mail proxies. X 13. Mail Shareholder reports. X 14. Mail prospectuses to current Shareholders. X 15. Withhold taxes on U.S. resident and non-resident alien X accounts. 16. Prepare and file U.S. Treasury Department forms. X 17. Prepare and mail account and confirmation statements for X Shareholders. 18. Provide Shareholder account information. X 19. Blue sky reporting. X * Such services are more fully described in Article 1.02 (a), (b) and (c) of the Agreement. ELFUN TRUSTS ELFUN GLOBAL FUND ELFUN DIVERSIFIED FUND ELFUN TAX-EXEMPT INCOME FUND ELFUN INCOME FUND ELFUN MONEY MARKET FUND GE S&S PROGRAM MUTUAL FUND GE S&S LONG-TERM INTEREST FUND BY: /s/ Xxxxxxx Xxxxxxxx --------------------------------- Trustee ATTEST: /s/ Xxxx X. Xxxxx --------------------------------- Secretary STATE STREET BANK AND TRUST COMPANY BY: /s/ Xxxxxx X. Xxxxx --------------------------------- Executive Vice President ATTEST: /s/ [Illegible] --------------------------------- Assistant Secretary Appendix A Fund Name State of Organization --------- --------------------- Elfund Trusts New York Elfun Global Fund Connecticut Elfun Diversified Fund Connecticut Elfun Tax-Exempt Income Fund Connecticut Elfun Income Fund Connecticut Elfun Money Market Fund Connecticut GE S&S Program Mutual Fund New York GE S&S Long-Term Interest Fund New York Fee Information for Services as Plan, Transfer and Dividend Disbursing Agent GE Funds/Elfun Funds/S&S Funds -------------------------------------------------------------------------------- Base Fee Per Fund Elfun $6,720 S&S $6,720 GE-Net Assets > $25,000,000 $6,720 GE-Net Assets > $10,000,000 $2,000 GE-Net Assets < $10,000,000 -0- Any new fund established after May 31, 1994 would assume the full base fee load.
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Related to Issue Replacement Certificates

  • Replacement Certificates If, on the date a Securityholder’s escrow securities are to be released, the Escrow Agent holds a share certificate or other evidence representing more escrow securities than are to be released, the Escrow Agent will deliver the share certificate or other evidence to the Issuer or its transfer agent and request replacement share certificates or other evidence. The Issuer will cause replacement share certificates or other evidence to be prepared and delivered to the Escrow Agent. After the Escrow Agent receives the replacement share certificates or other evidence, the Escrow Agent will send to the Securityholder or at the Securityholder’s direction, the replacement share certificate or other evidence of the escrow securities released. The Escrow Agent and Issuer will act as soon as reasonably practicable.

  • Exchange and Replacement of Warrant Certificates Each Warrant Certificate is exchangeable without expense, upon the surrender thereof by the registered Holder at the principal executive office of the Company, for a new Warrant Certificate of like tenor and date representing in the aggregate the right to purchase the same number of Warrant Securities in such denominations as shall be designated by the Holder thereof at the time of such surrender. Upon receipt by the Company of evidence reasonably satisfactory to it of the loss, theft, destruction or mutilation of any Warrant Certificate, and, in case of loss, theft or destruction, of indemnity or security reasonably satisfactory to it, and reimbursement to the Company of all reasonable expenses incidental thereto, and upon surrender and cancellation of the Warrants, if mutilated, the Company will make and deliver a new Warrant Certificate of like tenor, in lieu thereof.

  • Prepayment Certificate Concurrently with any prepayment of the Loans pursuant to Sections 2.14(a) through 2.14(e), Borrower shall deliver to Administrative Agent a certificate of an Authorized Officer demonstrating the calculation of the amount of the applicable net proceeds or Consolidated Excess Cash Flow, as the case may be. In the event that Borrower shall subsequently determine that the actual amount received exceeded the amount set forth in such certificate, Borrower shall promptly make an additional prepayment of the Loans in an amount equal to such excess, and Borrower shall concurrently therewith deliver to Administrative Agent a certificate of an Authorized Officer demonstrating the derivation of such excess.

  • Lost Certificates If any Certificate shall have been lost, stolen or destroyed, upon the making of an affidavit of that fact by the person claiming such Certificate to be lost, stolen or destroyed and, if required by Parent, the posting by such person of a bond in such reasonable amount as Parent may direct as indemnity against any claim that may be made against it with respect to such Certificate, the Paying Agent shall deliver in exchange for such lost, stolen or destroyed Certificate the applicable Merger Consideration with respect thereto.

  • Lost Certificates, Etc The Trustee shall execute and deliver a new Certificate of like tenor in exchange and substitution for a mutilated Certificate upon cancellation thereof, or in lieu of and in substitution for a destroyed, lost or stolen Certificate if the Registered Owner thereof has (a) filed with the Trustee (i) a request for such execution and delivery before the Trustee has notice that the Shares evidenced by the Certificate have been acquired by a protected purchaser and (ii) a sufficient indemnity bond, and (b) satisfied any other reasonable requirements imposed by the Trustee.

  • Lost Certificate Upon receipt by the Company of evidence satisfactory to it of the loss, theft, destruction or mutilation of this Purchase Warrant and of reasonably satisfactory indemnification or the posting of a bond, the Company shall execute and deliver a new Purchase Warrant of like tenor and date. Any such new Purchase Warrant executed and delivered as a result of such loss, theft, mutilation or destruction shall constitute a substitute contractual obligation on the part of the Company.

  • Issue in Substitution for Warrant Certificates Lost, etc (1) If any Warrant Certificate becomes mutilated or is lost, destroyed or stolen, the Corporation, subject to applicable law, shall issue and thereupon the Warrant Agent shall certify and deliver, a new Warrant Certificate of like tenor, and bearing the same legend, if applicable, as the one mutilated, lost, destroyed or stolen in exchange for and in place of and upon cancellation of such mutilated Warrant Certificate, or in lieu of and in substitution for such lost, destroyed or stolen Warrant Certificate, and the substituted Warrant Certificate shall be in a form approved by the Warrant Agent and the Warrants evidenced thereby shall be entitled to the benefits hereof and shall rank equally in accordance with its terms with all other Warrants issued or to be issued hereunder.

  • Independent Certificate A certificate or opinion to be delivered to the Indenture Trustee under the circumstances described in, and otherwise complying with, the applicable requirements of Section 11.1 of the Indenture, made by an Independent appraiser or other expert appointed by an Issuer Order and approved by the Indenture Trustee in the exercise of reasonable care, and stating that the signer has read the definition of “Independent” in the Indenture and that the signer is Independent within the meaning thereof.

  • Adjustment Certificate When any adjustment is required to be made in the Shares or the Purchase Price pursuant to this Section, the Company shall promptly mail to the Holder a certificate setting forth (i) a brief statement of the facts requiring such adjustment, (ii) the Purchase Price after such adjustment and (iii) the kind and amount of stock or other securities or property into which this Warrant shall be exercisable after such adjustment.

  • The Trust Certificates The Trust Certificates shall be issued in minimum denominations of $100,000 and integral multiples thereof; provided, however, that one Trust Certificate may be issued in such denomination as required to include any residual amount. The Trust Certificates shall be executed by the Owner Trustee on behalf of the Issuer by manual or facsimile signature (which signature may be a scanned electronic version) of an authorized officer of the Owner Trustee and shall have deemed to have been validly issued when so executed and authenticated (as set forth in Section 3.03 below). Trust Certificates bearing the manual or facsimile signatures (which signature may be a scanned electronic version) of individuals who were, at the time when such signatures were affixed, authorized to sign on behalf of the Owner Trustee, shall be validly issued and binding obligations of the Issuer and entitled to the benefit of this Agreement, notwithstanding that such individuals or any of them shall have ceased to be so authorized prior to the authentication and delivery of such Trust Certificates or did not hold such offices at the date of authentication and delivery of such Trust Certificates. A transferee of a Trust Certificate shall become a Certificateholder and shall be entitled to the rights and subject to the obligations of a Certificateholder hereunder upon such transferee’s acceptance of a Trust Certificate duly registered in such transferee’s name pursuant to Section 3.04.

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