Underwriting Commissions, Concessions and Discounts Sample Clauses

The "Underwriting Commissions, Concessions and Discounts" clause defines how compensation is distributed among underwriters and selling group members in a securities offering. It outlines the specific fees, commissions, or price reductions that underwriters receive for their role in facilitating the sale of securities, and may detail how these amounts are shared or allocated among participants. This clause ensures transparency and fairness in the financial arrangements of the offering, preventing disputes and clarifying the economic incentives for all parties involved.
Underwriting Commissions, Concessions and Discounts. The Underwriters’ discounts and commissions, the concessions that the Underwriters may allow to certain dealers, and the discounts that such dealers may reallow to certain other dealers, each expressed as a percentage of the principal amount of the Notes, shall be as follows: [Class ] % % % [Class ] % % % [Class ] % % % [Reimbursement of Expenses: The Underwriters shall reimburse the Bank for an amount not to exceed $ for application towards expenses.]
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Underwriting Commissions, Concessions and Discounts. The Underwriters’ discounts and commissions, the concessions that the Underwriters may allow to certain dealers, and the discounts that such dealers may reallow to certain other dealers, each expressed as a percentage of the principal amount of the Class A(2007-5) Notes, shall be as follows: Underwriters’ Information: The information furnished by the Underwriters through the Representative for purposes of Section 8(b) of the Underwriting Agreement consists of the chart and the third and seventh paragraphs under the heading “Underwriting” in the Prospectus Supplement.
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Underwriting Commissions, Concessions and Discounts. The Underwriters’ discounts and commissions, the concessions that the Underwriters may allow to certain dealers, and the discounts that such dealers may reallow to certain other dealers, each expressed as a percentage of the principal amount of the Notes, shall be as follows: [Class ] % % % [Class ] % % % [Class ] % % % [Reimbursement of Expenses: The Underwriters shall reimburse the Bank for an amount not to exceed $ for application towards expenses.] Closing Date: Pursuant to Rule 15c6-1(d) under the Securities Exchange Act of 1934, as amended, the Underwriters, the Bank and the Issuing Entity hereby agree that the Closing Date shall be , , a.m., New York Time.
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Underwriting Commissions, Concessions and Discounts. The Underwriters’ discounts and commissions, the concessions that the Underwriters may allow to certain dealers, and the discounts that such dealers may reallow to certain other dealers, each expressed as a percentage of the principal amount of the Class A(2023-1) Notes, shall be as follows: Time of Sale: 12:00 p.m. (Eastern Time) on June 8, 2023 (the time the first contract of sale was entered into as designated by the Representative).
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Underwriting Commissions, Concessions and Discounts. The Underwriters’ discounts and commissions, the concessions that the Underwriters may allow to certain dealers, and the discounts that such dealers may reallow to certain other dealers, each expressed as a percentage of the principal amount of the Notes, shall be as follows: [Class ] ___% ___% ___% [Class ] ___% ___% ___% [Class ] ___% ___% ___% [Reimbursement of Expenses: The Underwriters shall reimburse the Bank for an amount not to exceed $ for application towards expenses.]
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Underwriting Commissions, Concessions and Discounts. The Underwriters’ discounts and commissions, the concessions that the Underwriters may allow to certain dealers, and the discounts that such dealers may reallow to certain other dealers, each expressed as a percentage of the principal amount of the Notes, shall be as follows: [Class [_](20[__]-[_]) ___% ___% ___%] [Class [_](20[__]-[_]) ___% ___% ___%] [Class [_](20[__]-[_]) ___% ___% ___%] [Reimbursement of Expenses: The Underwriters shall reimburse the Company for an amount not to exceed $__________ for application towards expenses.]
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Underwriting Commissions, Concessions and Discounts. The Underwriters’ discounts and commissions, the concessions that the Underwriters may allow to certain dealers, and the discounts that such dealers may reallow to certain other dealers, each expressed as a percentage of the principal amount of the Notes, shall be as follows: [Class ] ___% ___% ___% [Class ] ___% ___% ___% [Class ] ___% ___% ___% [Reimbursement of Expenses: The Underwriters shall reimburse the Bank for an amount not to exceed $ for application towards expenses.] Closing Date: Pursuant to Rule 15c6-1(d) under the Securities Exchange Act of 1934, as amended, the Underwriters, the Bank and the Issuing Entity hereby agree that the Closing Date shall be , , a.m., New York Time.
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Related to Underwriting Commissions, Concessions and Discounts

  • Commissions and Fees Pentegra has not incurred any obligation for any finder's, broker's or similar fees in connection with the transactions contemplated hereby.

  • COMMISSIONS AND EXPENSES 15.1 The Issuer agrees to pay to the Agent such fees and commissions as the Issuer and the Agent shall separately agree in respect of the services of the Paying Agents under this Agreement together with any out of pocket expenses (including legal, printing, postage, fax, cable and advertising expenses) incurred by the Paying Agents in connection with their services. 15.2 The Agent will make payment of the fees and commissions due under this Agreement to the other Paying Agents and will reimburse their expenses promptly after the receipt of the relevant moneys from the Issuer. The Issuer shall not be responsible for any payment or reimbursement by the Agent to the other Paying Agents.

  • Portfolio Transactions and Brokerage (a) The Manager is authorized, in arranging the purchase and sale of the Fund’s publicly-traded portfolio securities, to employ or deal with such members of securities exchanges, brokers or dealers (hereinafter “broker-dealers”), including broker-dealers that are affiliated persons of the Fund or the Manager, as that term is defined in the 1940 Act, as may, in its best judgment, implement the policy of the Fund to obtain the best execution of the Fund’s portfolio transactions. (b) The Manager may effect the purchase and sale of securities in private transactions on such terms and conditions as are customary in such transactions, may use a broker to effect said transactions, and may enter into a contract in which the broker acts either as principal or as agent. (c) The Manager shall select broker-dealers to effect the Fund’s portfolio transactions on the basis of its estimate of their ability to obtain best execution of particular and related portfolio transactions. The abilities of a broker-dealer to obtain best execution of particular portfolio transaction(s) will be judged by the Manager on the basis of all relevant factors and considerations including, insofar as feasible, the execution capabilities required by the transaction or transactions; the ability and willingness of the broker-dealer to facilitate the Fund’s portfolio transactions by participating therein for its own account; the importance to the Fund of speed, efficiency, or confidentiality; the broker-dealer’s apparent familiarity with sources from or to whom particular securities might be purchased or sold; as well as any other matters relevant to the selection of a broker-dealer for particular and related transactions of the Fund. Subject to such policies as the Trustees may determine, the Manager shall not be deemed to have acted unlawfully or to have breached any duty created by this Management Agreement or otherwise solely by reason of its having caused the Fund to pay a broker or dealer that provides brokerage and research services to the Manager an amount of commission for effecting a portfolio investment transaction in excess of the amount of commission another broker or dealer would have charged for effecting that transaction, if the Manager determines in good faith that such amount of commission was reasonable in relation to the value of the brokerage and research services provided by such broker or dealer, viewed in terms of either that particular transaction or the Manager’s overall responsibilities with respect to the Fund and to other clients of the Manager as to which the Manager exercises investment discretion. (d) In any case where a Subadviser has been retained in respect of some or all of the assets of the Fund as contemplated by Section 9 below, the Manager shall report periodically to the Board of Trustees as to the brokerage activities of the Subadviser in respect of the Fund, at such times and in such format as the Board of Trustees may reasonably specify.

  • Underwriting and Distribution Section 5.1 Rule 144. INC covenants that it shall file all reports required to be filed by it under the Securities Act and the Exchange Act and shall take such further action as Shareholder may reasonably request, all to the extent required from time to time to enable Shareholder to sell its Registrable Securities without registration under the Securities Act within the limitation of the exemptions provided by Rule 144 under the Securities Act, or any similar provision thereto, but not Rule 144A.

  • Post-Closing Undertakings Within the time periods specified on Schedule 6.16 hereto (as each may be extended by the Administrative Agent in its reasonable discretion), provide such Collateral Documents and complete such undertakings as are set forth on Schedule 6.16 hereto.