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Contract - HJ Umbaugh & Assoc. - Municipal Advisory Services with Respect to the 2016 Waterworks Bonds Refunding
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Contract - HJ Umbaugh & Assoc. - Municipal Advisory Services with Respect to the 2016 Waterworks Bonds Refunding
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3/28/2025 12:50:03 PM
Creation date
11/9/2016 10:16:56 AM
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Board of Public Works
Document Type
Contracts
Document Date
11/8/2016
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B. On behalf of the Client, distribute the Official Statement to the underwriter in <br />connection with the offering of the proposed Refunding Bonds. <br />C. Provide information to S&P Global Ratings for a rating on the proposed Refunding <br />Bonds, if deemed necessary. <br />D. Prepare instructions related to closing and delivery of the Refunding Bonds including <br />distribution of proceeds, flow of funds, and procedures for refunding of the <br />Outstanding Bonds. <br />E. Prepare and file Gateway information as required by the DLGF following the sale of <br />Refunding Bonds. <br />Article M. Escrow Verification Report <br />A. Test the mathematical accuracy of the Placement Agent's or Underwriter's <br />calculations regarding the sufficiency of the cash and investments to be deposited <br />into the escrow account to meet the principal and interest requirements and call <br />premium for the Outstanding Bonds. <br />B. Provide an Escrow Verification Report at the closing of the Refunding Bonds. <br />Article IV. Parity Report <br />A. Determine the provisions of the Bond Ordinance of the now outstanding Bonds <br />which govern the issuance of the subsequent debt debentures on parity with the <br />existing Bonds. <br />B. Advise the Client of the requirements necessary for meeting the parity provisions of <br />the above documents. <br />C. Conduct such test, if eligible, of the utility's records as are necessary for the issuance <br />of the proposed Bonds on parity with the now outstanding Bonds. <br />D. Prepare a written report of the above tests for submission to the Client's attorneys for <br />the inclusion in official transcripts of the proceedings in connection with the issuance <br />of the Bonds. <br />Article V. Continuing Disclosure <br />If the Client selected `Yes' in the Engagement Letter above, the Firm will assist the Client <br />with the annual preparation of materials required for compliance with SEC Rule 15c2-12 <br />as described within the Continuing Disclosure Undertaking Agreement for the Bonds. On <br />an annual basis, the Firm will provide a separate Continuing Disclosure Engagement Letter <br />for those services. <br />
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