Cal. Code Regs. Tit. 2, div. 2, ch. 4, subch. 4, art. 4, app C

Current through Register 2024 Notice Reg. No. 41, October 11, 2024

Appendix C - State of California Office of the State Treasurer Target Business Enterprise in Professional Bond Services Report Negotiated Sales

(To be completed by Senior Manager)

In accordance with the Purchase Agreement, this report is to be completed and returned to the State Treasurer's Office, Trust Services Division; 915 Capitol Mall, Room 107; Sacramento, CA 95814 within 10 days of closing of the below mentioned issue.

___________________________

Issuer

___________________________

Issue Description

Series ______________________________ Amount $ __________________________________________________ Date Sold __________________________________________________

___________________________

Senior Manager

Contact Person ________________________________________________________________________________ Phone__________________________________________________

1. MANAGEMENT FEE

Total: $__________

Lead Manager's share of management fee $______________________________ % of Total ______________________________ %

Co-Managers' share of management fees:

	Co-Manager(s)		TBE* Firm(s) Yes/No		Management Fee		% of Total
	___________________________		___________________________		___________________________$		___________________________	%
	___________________________		___________________________		___________________________$		___________________________	%
	___________________________		___________________________		___________________________$		___________________________	%
	___________________________		___________________________		___________________________$		___________________________	%
	___________________________		___________________________		___________________________$		___________________________	%
	___________________________		___________________________		___________________________$		___________________________	%
	___________________________		___________________________		___________________________$		___________________________	%
* TBE --means target business enterprise which collectively includes minority business enterprises, or women business enterprises as both of these are defined in Section 16851 of the Government Code, and disabled veteran business enterprise as defined in Section 999 of the Military and Veterans Code.

2. TAKEDOWN

	a: Gross Takedown	___________________________$
	Less Identified concessions	___________________________$
	Net takedown	___________________________$
	b: Takedown by Manager/Co-Managers/Syndicate member/Selling group member:

	Firm		TBE Firm Yes/No		Takedown (Excluding Identified Concessions)		% of Total
	___________________________		___________________________		___________________________$		___________________________	%
	___________________________		___________________________		___________________________$		___________________________	%
	___________________________		___________________________		___________________________$		___________________________	%
	___________________________		___________________________		___________________________$		___________________________	%
	___________________________		___________________________		___________________________$		___________________________	%
	___________________________		___________________________		___________________________$		___________________________	%
	___________________________		___________________________		___________________________$		___________________________	%

If necessary, continue in same format on an attachment labeled "Attachment A."

3. RISK		Total: $	___________________________
___________________________Lead Manager's risk: $			___________________________% of Total	%

Co-Managers/Syndicate members risk:

	Name		TBE Firm Yes/No		Amount		% of Total
	___________________________		___________________________		___________________________$		___________________________	%
	___________________________		___________________________		___________________________$		___________________________	%
	___________________________		___________________________		___________________________$		___________________________	%
	___________________________		___________________________		___________________________$		___________________________	%
	___________________________		___________________________		___________________________$		___________________________	%
	___________________________		___________________________		___________________________$		___________________________	%
	___________________________		___________________________		___________________________$		___________________________	%

If necessary, continue in same format on an attachment labeled "Attachment B."

4. EXPENSES

Total: $

___________________________

Professional Bond Services (PBS) Expenses		Firm		TBE Firm Yes/No		Compensation
Underwriter's Counsel		___________________________		___________________________		___________________________$
Underwriter's Co-Counsel		___________________________		___________________________		___________________________$
Printing--OS/POS		___________________________		___________________________		___________________________$
Printing--Bonds		___________________________		___________________________		___________________________$
Other PBS Expenses: (Identify)
___________________________		___________________________		___________________________		___________________________$
___________________________		___________________________		___________________________		___________________________$
___________________________		___________________________		___________________________		___________________________$
___________________________		___________________________		___________________________		___________________________$
All other Expensers (non-PBS)
___________________________		___________________________		___________________________		___________________________$
___________________________		___________________________		___________________________		___________________________$
___________________________		___________________________		___________________________		___________________________$
___________________________		___________________________		___________________________		___________________________$

5. GROSS SPREAD

Total: $

___________________________

6. DVBE GOOD FAITH EFFORTS

The Senior Managing Underwriter on this bond sale took the actions indicated below to demonstrate a good faith effort to include DVBE firm(s) in this bond sale (indicate by marking with an "X").

___ At least one DVBE firm was included in the financing team for this bond sale and the DVBE participation was in accordance with the Treasurer's DVBE participation goals.

___ Contact was made with the Treasurer's Office to identify Certified DVBEs;

___ At least one certified DVBE firm was invited to participate on the financing team for this bond sale;

___ The financing team was formed under the specific direction of the Treasurer's Office.

Cal. Code Regs. Tit. 2, div. 2, ch. 4, subch. 4, art. 4, app C

1. New section filed 4-10-89 as an emergency; operative 4-10-89 (Register 89, No. 15).
A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-8-89.
2. Certificate of Compliance transmitted to OAL 8-8-89 and filed 9-7-89 (Register 89, No. 40).

Note: Authority cited: Section 16853, Government Code. Reference: Section 16853, Government Code.