Authority of the Representative. Any action by the Underwriters hereunder may be taken by the Representative on behalf of the Underwriters, and any such action taken by the Representative shall be binding upon the Underwriters. 2085477v11 If the foregoing is in accordance with your understanding of our agreement, kindly sign and return the enclosed copies hereof, whereupon this instrument, along with all counterparts hereof, shall become a binding agreement in accordance with it terrms. Very truly yours, ABRAXAS PETROLEUM CORPORATION By: /s/Rxxxxx L.X. Xxxxxx Name: Rxxxxx L.X. Xxxxxx Title: President & CEO SELLING STOCKHOLDERS: CITIGROUP GLOBAL MARKETS INC. By: /s/ Kxxxx Xxxxxxx Name: Kxxxx Xxxxxxx Title: Head of Equities Trading for the Americas VALLEY ENERGY INVESTMENT FUND U.S., L.P. By: /s/ Exxxx x. De La Cxxx Xxxxxxx Name: Exxxx X. De La Cxxx Xxxxxxx Title: Authorized Signatory TORTOISE CAPITAL RESOURCES CORPORATION By: /s/ Txxxx Xxxxxxx Name: Txxxx Xxxxxxx Title: CEO & Managing Director for Tortoise [Signature page to Underwriting Agreement] MXXXXX X XXXXXXX ASSOCIATES By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager MEDDS III By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager HXXXX CAPITAL INVESTMENTS, LLC By: /s/ Rxxxxx X. Xxxxx Name: Rxxxxx X. Xxxxx Title: Chief Operating Officer [Signature page to Underwriting Agreement] The foregoing Underwriting Agreement is hereby confirmed and accepted by the Representative as of the date first above written. JXXXXXX RICE & COMPANY L.L.C. As representative of the several underwriters By: /s/Jxxxx X. Xxxxxxxx Name: Jxxxxx X. Xxxxxxxx Title: Equity Member [Signature page to Underwriting Agreement] SCHEDULE A Underwriters Underwriter Number of Firm Shares to be Purchased Jxxxxxx Rxxx & Company L. L. C. 7,586,238 Canaccord Genuity Inc. 6,151,004 Sxxxxx, Xxxxxxxx & Company, Incorporated 5,125,837 Wxxxxxxxxx Securities, Inc. 820,134 Ladenburg Txxxxxxx & Co. Inc. 820,134 2085477v1 SCHEDULE B Selling Stockholders Selling Stockholder Number of Firm Shares to be Sold Citigroup Global Markets, Inc. 300 Xxxxxxxxx Xxxxxx, 0xx Xxxxx Xxx Xxxx, Xxx Xxxx 00000 3,430,786 Valley Energy Investment Fund U.S., L.P. 200 X. Xxxxx Street NC-027-40-03; 40xx Xxxxx Xxxxxxxxx, Xxxxx Xxxxxxxx 00000 Attention: Wxxxxxx Xxxxxx 2,422,154 Tortoise Capital Resources Corporation 10000 Xxx Xxxxxx, Xxxxx 000 Xxxxxxx, Xxxxxx 00000 1,646,376 Hxxxx Capital Investments, LLC 400 Xxxxx Xxxxx Xxxxxxxx, Xxx Xxxxxx 00000 Attn: Nxxx X. Xxxxxx Facsimile No.: (000) 000-0000 865,056 Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 62,695 MEDDS III c/o Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 76,280 Total: 8,503,347 2085477v1 SCHEDULE C Schedule of Free Writing Prospectuses included in the Time of Sale Prospectus - Free writing prospectus dated January 26, 2000 - Xxxx show presentation dated January 18, 2011 (posted on wxx.xxxxxxxxxxx.xxx) 2085477v1 SCHEDULE D Subsidiaries of the Company
Appears in 1 contract
Authority of the Representative. Any action by the Underwriters hereunder may be taken by the Representative Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated on behalf of the Underwriters, and any such action taken by the Representative Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated shall be binding upon the Underwriters. 2085477v11 If the foregoing is in accordance with your understanding of our agreement, kindly sign and return the enclosed copies hereof, whereupon this instrument, along with all counterparts hereof, shall become a binding agreement in accordance with it terrms. Very truly yours, ABRAXAS PETROLEUM CORPORATION By: /s/Rxxxxx L.X. Xxxxxx XXXXXXX XXXXX MORTGAGE INVESTORS, INC. By /s/ Xxxxx X. Xxxxxxx -------------------------------------- Name: Rxxxxx L.X. Xxxxxx Title: President & CEO SELLING STOCKHOLDERS: CITIGROUP GLOBAL MARKETS INC. By: /s/ Kxxxx Xxxxxxx Name: Kxxxx Xxxxxxx Title: Head of Equities Trading for the Americas VALLEY ENERGY INVESTMENT FUND U.S., L.P. By: /s/ Exxxx x. De La Cxxx Xxxxxxx Name: Exxxx X. De La Cxxx Xxxxxxx Title: Authorized Signatory TORTOISE CAPITAL RESOURCES CORPORATION By: /s/ Txxxx Xxxxxxx Name: Txxxx Xxxxxxx Title: CEO & Managing Director for Tortoise [Signature page to Underwriting Agreement] MXXXXX X XXXXXXX ASSOCIATES By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx Xxxxx X. Xxxxxxx Title: Manager MEDDS III By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager HXXXX CAPITAL INVESTMENTSExecutive Vice President Chief Officer in Charge of Commercial Mortgage Securitization CONFIRMED AND ACCEPTED, LLC By: /s/ Rxxxxx X. Xxxxx Name: Rxxxxx X. Xxxxx Title: Chief Operating Officer [Signature page to Underwriting Agreement] The foregoing Underwriting Agreement is hereby confirmed and accepted by the Representative as of the date first above written. JXXXXXX RICE : XXXXXXX LYNCH, PIERCE, XXXXXX & COMPANY L.L.C. As representative XXXXX INCORPORATED For itself and on behalf of the several underwriters By: /s/Jxxxx Underwriters listed on Schedule I. By /s/ Xxxxx X. Xxxxxxxx Xxxxxxx --------------------------------------- Name: Jxxxxx Xxxxx X. Xxxxxxxx Xxxxxxx Title: Equity Member [Signature page to Underwriting Agreement] Authorized Signatory ANNEX A The First Page of the Depositor's Free Writing Prospectus dated June 8, 2006 ANNEX B The First Page of the Depositor's Term Sheet dated June 8, 2006 ANNEX C The First Page of the Depositor's Free Writing Prospectus dated June 15th, 2006 ANNEX D Pricing Information Annex SCHEDULE A I MLCFC Commercial Mortgage Pass-Through Certificates, Series 2006-1, Class A-1, Class X-0, Xxxxx X-0, Class A-SB, Class A-4, Class A-1A, Class AM and Class AJ. ========================================================================================================================= Underwriters Underwriter Number Amount of Firm Shares Certificates to be Purchased Jxxxxxx Rxxx Class of Certificates to be Purchased ------------------------------------------------------------------------------------------------------------------------- Xxxxxxx Lynch, Pierce, Xxxxxx & Company L. L. C. 7,586,238 Canaccord Genuity Xxxxx $30,796,206 A-1 Incorporated ------------------------------------------------------------------------------------------------------------------------- Countrywide Securities Corporation $23,048,794 A-1 ------------------------------------------------------------------------------------------------------------------------- KeyBanc Capital Markets, a Division of $0 A-1 McDonald Investments Inc. 6,151,004 Sxxxxx------------------------------------------------------------------------------------------------------------------------- Xxxxxxx, Xxxxxxxx & Company, Incorporated 5,125,837 Wxxxxxxxxx Securities, Inc. 820,134 Ladenburg Txxxxxxx Xxxxx & Co. Inc. 820,134 2085477v1 SCHEDULE B Selling Stockholders Selling Stockholder Number of Firm Shares to be Sold Citigroup Global $0 A-1 ------------------------------------------------------------------------------------------------------------------------- Xxxxxx Xxxxxxx & Co. Incorporated $0 A-1 ------------------------------------------------------------------------------------------------------------------------- Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx $50,421,816 A-2 Incorporated ------------------------------------------------------------------------------------------------------------------------- Countrywide Securities Corporation $37,737,184 A-2 ------------------------------------------------------------------------------------------------------------------------- KeyBanc Capital Markets, a Division of $0 A-2 McDonald Investments Inc. 300 Xxxxxxxxx Xxxxxx, 0xx Xxxxx Xxx Xxxx, Xxx Xxxx 00000 3,430,786 Valley Energy Investment Fund U.S., L.P. 200 X. Xxxxx Street NC-027-40-03; 40xx Xxxxx Xxxxxxxxx------------------------------------------------------------------------------------------------------------------------- Xxxxxxx, Xxxxx Xxxxxxxx 00000 Attention: Wxxxxxx & Co. $0 A-2 ------------------------------------------------------------------------------------------------------------------------- Xxxxxx 2,422,154 Tortoise Xxxxxxx & Co. Incorporated $0 A-2 ------------------------------------------------------------------------------------------------------------------------- Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx $31,159,961 A-3 Incorporated ------------------------------------------------------------------------------------------------------------------------- Countrywide Securities Corporation $23,321,039 A-3 ------------------------------------------------------------------------------------------------------------------------- KeyBanc Capital Resources Corporation 10000 Xxx XxxxxxMarkets, a Division of $0 A-3 McDonald Investments Inc. ------------------------------------------------------------------------------------------------------------------------- Xxxxxxx, Xxxxx 000 & Co. $0 A-3 ------------------------------------------------------------------------------------------------------------------------- Xxxxxx Xxxxxxx & Co. Incorporated $0 A-3 ------------------------------------------------------------------------------------------------------------------------- Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx $52,564,310 A-SB Incorporated ------------------------------------------------------------------------------------------------------------------------- Countrywide Securities Corporation $39,340,690 A-SB ========================================================================================================================= ========================================================================================================================= KeyBanc Capital Markets, a Division of $0 A-XX XxXxxxxx Investments Inc. ------------------------------------------------------------------------------------------------------------------------- Xxxxxxx, Xxxxx & Co. $0 A-SB ------------------------------------------------------------------------------------------------------------------------- Xxxxxx 00000 1,646,376 Hxxxx Xxxxxxx & Co. Incorporated $0 A-SB ------------------------------------------------------------------------------------------------------------------------- Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx $420,234,232 A-4 Incorporated ------------------------------------------------------------------------------------------------------------------------- Countrywide Securities Corporation $314,515,768 A-4 ------------------------------------------------------------------------------------------------------------------------- KeyBanc Capital InvestmentsMarkets, LLC 400 a Division of $0 A-4 McDonald Investments Inc. ------------------------------------------------------------------------------------------------------------------------- Xxxxxxx, Xxxxx & Co. $0 A-4 ------------------------------------------------------------------------------------------------------------------------- Xxxxxx Xxxxxxx & Co. Incorporated $0 A-4 ------------------------------------------------------------------------------------------------------------------------- Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Xxxxxxxx$152,063,880 A-1A Incorporated ------------------------------------------------------------------------------------------------------------------------- Countrywide Securities Corporation $113,809,120 A-1A ------------------------------------------------------------------------------------------------------------------------- KeyBanc Capital Markets, Xxx a Division of $0 A-1A McDonald Investments Inc. ------------------------------------------------------------------------------------------------------------------------- Xxxxxxx, Xxxxx & Co. $0 A-1A ------------------------------------------------------------------------------------------------------------------------- Xxxxxx 00000 Attn: Nxxx X. Xxxxxxx & Co. Incorporated $0 A-1A ------------------------------------------------------------------------------------------------------------------------- Xxxxxxx Lynch, Pierce, Xxxxxx Facsimile No.: & Xxxxx $105,320,221 AM Incorporated ------------------------------------------------------------------------------------------------------------------------- Countrywide Securities Corporation $78,824,779 AM ------------------------------------------------------------------------------------------------------------------------- KeyBanc Capital Markets, a Division of $0 AM McDonald Investments Inc. ------------------------------------------------------------------------------------------------------------------------- Xxxxxxx, Xxxxx & Co. $0 AM ------------------------------------------------------------------------------------------------------------------------- Xxxxxx Xxxxxxx & Co. Incorporated $0 AM ------------------------------------------------------------------------------------------------------------------------- Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx $78,989,737 AJ Incorporated ------------------------------------------------------------------------------------------------------------------------- Countrywide Securities Corporation $59,118,263 AJ ========================================================================================================================= ========================================================================================================================= KeyBanc Capital Markets, a Division of $0 XX XxXxxxxx Investments Inc. ------------------------------------------------------------------------------------------------------------------------- Xxxxxxx, Sachs & Co. $0 AJ ------------------------------------------------------------------------------------------------------------------------- Xxxxxx Xxxxxxx & Co. Incorporated $0 AJ ========================================================================================================================= SCHEDULE I (000CONTINUED) 000============================================================================================================ Class Initial Aggregate Approximate Initial Purchase Rating(3) Designation Principal Amount of Class(1) Pass-0000 865,056 Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 62,695 MEDDS III cThrough Rate Price(2) Moody's/o Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 76,280 Total: 8,503,347 2085477v1 SCHEDULE C Schedule of Free Writing Prospectuses included in the Time of Sale Prospectus - Free writing prospectus dated January 26, 2000 - Xxxx show presentation dated January 18, 2011 (posted on wxx.xxxxxxxxxxx.xxx) 2085477v1 SCHEDULE D Subsidiaries of the CompanyS&P ------------------------------------------------------------------------------------------------------------ A-1 $53,845,000 5.77300% 100.2486% Aaa/AAA ------------------------------------------------------------------------------------------------------------ A-2 $88,159,000 5.87800% 100.5462% Aaa/AAA ------------------------------------------------------------------------------------------------------------ A-3 $54,481,000 5.87696% 100.5470% Aaa/AAA ------------------------------------------------------------------------------------------------------------ A-SB $91,905,000 5.87796% 100.5476% Aaa/AAA ------------------------------------------------------------------------------------------------------------ A-4 $734,750,000 5.90996% 100.5475% Aaa/AAA ------------------------------------------------------------------------------------------------------------ A-1A $265,873,000 5.90796% 100.5494% Aaa/AAA ------------------------------------------------------------------------------------------------------------ AM $184,145,000 5.91696% 100.3078% Aaa/AAA ------------------------------------------------------------------------------------------------------------ AJ $138,108,000 5.91696% 100.0163% Aaa/AAA ============================================================================================================ _________________
Appears in 1 contract
Samples: Underwriting Agreement (ML-CFC Commercial Mortgage Trust 2006-2)
Authority of the Representative. Any action by the Underwriters hereunder may be taken by the Representative on behalf of the Underwriters, and any such action taken by the Representative shall be binding upon the Underwriters. 2085477v11 If the foregoing is in accordance with your understanding of our agreement, kindly sign and return the enclosed copies hereof, whereupon this instrument, along with all counterparts hereof, shall become a binding agreement in accordance with it terrmsits terms. Very truly yours, ABRAXAS PETROLEUM CORPORATION By: /s/Rxxxxx L.X. Xxxxxx Name: Rxxxxx L.X. Xxxxxx Title: President & CEO SELLING STOCKHOLDERS: CITIGROUP GLOBAL MARKETS INCGASTAR EXPLORATION LTD. By: /s/ Kxxxx Xxxxxxx Name: Kxxxx Xxxxxxx Title: Head of Equities Trading for the Americas VALLEY ENERGY INVESTMENT FUND U.S., L.P. By: /s/ Exxxx x. De La Cxxx Xxxxxxx Name: Exxxx X. De La Cxxx Xxxxxxx Title: Authorized Signatory TORTOISE CAPITAL RESOURCES CORPORATION By: /s/ Txxxx Xxxxxxx Name: Txxxx Xxxxxxx Title: CEO & Managing Director for Tortoise [Signature page to Underwriting Agreement] MXXXXX X XXXXXXX ASSOCIATES By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx Xxxxxxx X. Xxxxxxx Title: Manager MEDDS III By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager HXXXX CAPITAL INVESTMENTS, LLC By: /s/ Rxxxxx X. Xxxxx Name: Rxxxxx X. Xxxxx Title: Vice President and Chief Operating Financial Officer [Signature page to Underwriting Agreement] The foregoing Underwriting Agreement is hereby confirmed and accepted by the Representative as of the date first above written. JXXXXXX XXXXXXX RICE & COMPANY L.L.C. As representative of the several underwriters By: /s/Jxxxx /s/ Xxxxxx X. Xxxxxxxx Name: Jxxxxx Xxxxxx X. Xxxxxxxx Title: Equity Member [Signature page to Underwriting Agreement] SCHEDULE A Underwriters Underwriter Number of Firm Shares to be Purchased Jxxxxxx Rxxx Xxxxxxx Xxxx & Company L. L. C. 7,586,238 Canaccord Genuity Inc. 6,151,004 SxxxxxL.L.C. 4,800,000 Xxxxxxxxx Capital Partners, Xxxxxxxx LLC 2,400,000 Tudor, Pickering, Xxxx & Company, Incorporated 5,125,837 Wxxxxxxxxx Co. Securities, Inc. 820,134 Ladenburg Txxxxxxx & Co. Inc. 820,134 2085477v1 2,400,000 BMO Capital Markets Corp. 1,200,000 IBERIA Capital Partners, LLC 1,200,000 Total 12,000,000 SCHEDULE B Selling Stockholders Selling Stockholder Number of Firm Shares to be Sold Citigroup Global Markets, Inc. 300 Xxxxxxxxx Xxxxxx, 0xx Xxxxx Xxx Xxxx, Xxx Xxxx 00000 3,430,786 Valley Energy Investment Fund U.S., L.P. 200 X. Xxxxx Street NC-027-40-03; 40xx Xxxxx Xxxxxxxxx, Xxxxx Xxxxxxxx 00000 Attention: Wxxxxxx Xxxxxx 2,422,154 Tortoise Capital Resources Corporation 10000 Xxx Xxxxxx, Xxxxx 000 Xxxxxxx, Xxxxxx 00000 1,646,376 Hxxxx Capital Investments, LLC 400 Xxxxx Xxxxx Xxxxxxxx, Xxx Xxxxxx 00000 Attn: Nxxx X. Xxxxxx Facsimile No.: (000) 000-0000 865,056 Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 62,695 MEDDS III c/o Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 76,280 Total: 8,503,347 2085477v1 SCHEDULE C Schedule of Free Writing Prospectuses included in the Time of Sale Prospectus - Free writing prospectus dated January 26December 7, 2000 2010 - Xxxx Road show presentation dated January 18December 7, 2011 2010 (posted on wxx.xxxxxxxxxxx.xxxxxx.xxxxxxxxxxx.xxx) 2085477v1 - SCHEDULE D C Subsidiaries of the Company 100% Subsidiaries owned by the Company Gastar Exploration USA, Inc. (Michigan) 100% Subsidiaries owned by Gastar Exploration USA, Inc. (Michigan) Gastar Exploration New South Wales, Inc. (Michigan) Gastar Exploration Victoria, Inc. (Michigan) Gastar Exploration Texas LP (Delaware) - Gastar Exploration Texas LLC (Delaware), General Partner (1%) - Gastar Exploration Texas, Inc. (Michigan), Limited Partner (99%) SCHEDULE D Capitalization of the Company The Company has the authority to issue an unlimited number of common shares, no par value. As of December 6, 2010, the Company had outstanding 50,378,094 common shares and 1,110,100 shares issuable upon the exercise of outstanding stock options awarded under the Company’s 2006 Long-Term Stock Incentive Plan and 2,000,000 common shares issuable upon exercise of outstanding warrants.
Appears in 1 contract
Authority of the Representative. Any action by the Underwriters hereunder may be taken by the Representative Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated on behalf of the Underwriters, and any such action taken by the Representative Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated shall be binding upon the Underwriters. 2085477v11 If the foregoing is in accordance with your understanding of our agreement, kindly sign and return the enclosed copies hereof, whereupon this instrument, along with all counterparts hereof, shall become a binding agreement in accordance with it terrms. Very truly yours, ABRAXAS PETROLEUM CORPORATION By: /s/Rxxxxx L.X. Xxxxxx Name: Rxxxxx L.X. Xxxxxx Title: President & CEO SELLING STOCKHOLDERS: CITIGROUP GLOBAL MARKETS XXXXXXX XXXXX MORTGAGE INVESTORS, INC. By: /s/ Kxxxx Xxxxx X. Xxxxxxx Name: Kxxxx Xxxxxxx ------------------------------------ Title: Head of Equities Trading for the Americas VALLEY ENERGY INVESTMENT FUND U.S.Executive Vice President CONFIRMED AND ACCEPTED, L.P. By: /s/ Exxxx x. De La Cxxx Xxxxxxx Name: Exxxx X. De La Cxxx Xxxxxxx Title: Authorized Signatory TORTOISE CAPITAL RESOURCES CORPORATION By: /s/ Txxxx Xxxxxxx Name: Txxxx Xxxxxxx Title: CEO & Managing Director for Tortoise [Signature page to Underwriting Agreement] MXXXXX X XXXXXXX ASSOCIATES By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager MEDDS III By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager HXXXX CAPITAL INVESTMENTS, LLC By: /s/ Rxxxxx X. Xxxxx Name: Rxxxxx X. Xxxxx Title: Chief Operating Officer [Signature page to Underwriting Agreement] The foregoing Underwriting Agreement is hereby confirmed and accepted by the Representative as of the date first above written. JXXXXXX RICE : XXXXXXX LYNCH, PIERCE, XXXXXX & COMPANY L.L.C. As representative XXXXX INCORPORATED For itself and on behalf of Natixis Securities North America Inc., Xxxxxxx, Sachs & Co. and Xxxxxx Xxxxxxx & Co. Incorporated By: /s/ Xxxxx X. Xxxxxxx ------------------------------------ Authorized Signatory COUNTRYWIDE SECURITIES CORPORATION By: /s/ Xxx X'Xxxxxxxx ------------------------------------ Name: Xxx X'Xxxxxxxx Title: Senior Vice President ANNEX A The First Page of the several underwriters By: /s/Jxxxx X. Xxxxxxxx Name: Jxxxxx X. Xxxxxxxx Title: Equity Member [Signature page to Underwriting Agreement] Depositor's Free Writing Prospectus dated October 25, 2007 ANNEX B The First Page of the Depositor's Free Writing Prospectus dated November 1, 2007 ANNEX C The First Two Pages of the Structural and Collateral Term Sheet dated October 24, 2007 SCHEDULE A I ML-CFC Commercial Mortgage Pass-Through Certificates, Series 2007-9, Class A-1, Class X-0, Xxxxx X-0, Class A-SB, Class A-4, Class A-1A, Class AM, Class AM-A, Class AJ, Class AJ-A, Class B, Class C, Class D, Class E, Class F and Class XP. Underwriters Underwriter Number Amount of Firm Shares Certificates to be Purchased Jxxxxxx Rxxx Class of Certificates to be Purchased ------------ -------------------------------------- ------------------------------------- Xxxxxxx Lynch, Pierce, Xxxxxx & Company L. L. C. 7,586,238 Canaccord Genuity Xxxxx Incorporated $32,082,080 A-1 Countrywide Securities Corporation $23,594,920 A-1 Natixis Securities North America Inc. 6,151,004 SxxxxxX/X X-0 Xxxxxxx, Xxxxxxxx & Company, Incorporated 5,125,837 Wxxxxxxxxx Securities, Inc. 820,134 Ladenburg Txxxxxxx Sachs & Co. N/A A-1 Xxxxxx Xxxxxxx & Co. Incorporated N/A A-1 Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated $148,727,009 A-2 Countrywide Securities Corporation $109,381,991 A-2 Natixis Securities North America Inc. 820,134 2085477v1 SCHEDULE B Selling Stockholders Selling Stockholder Number of Firm Shares to be Sold Citigroup Global MarketsX/X X-0 Xxxxxxx, Sachs & Co. N/A A-2 Xxxxxx Xxxxxxx & Co. Incorporated N/A A-2 Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated $77,673,588 A-3 Countrywide Securities Corporation $57,125,412 A-3 Natixis Securities North America Inc. 300 Xxxxxxxxx XxxxxxX/X X-0 Xxxxxxx, 0xx Sachs & Co. N/A A-3 Xxxxxx Xxxxxxx & Co. Incorporated N/A A-3 Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Xxx XxxxIncorporated $52,086,635 A-SB Countrywide Securities Corporation $38,307,365 A-SB Natixis Securities North America Inc. N/A A-XX Xxxxxxx, Xxx Xxxx 00000 3,430,786 Valley Energy Investment Fund U.S.Sachs & Co. N/A A-XX Xxxxxx Xxxxxxx & Co. Incorporated N/A A-XX Xxxxxxx Lynch, L.P. 200 X. Pierce, Xxxxxx & Xxxxx Street NC-027Incorporated $536,443,824 A-4 Countrywide Securities Corporation $394,530,176 A-4 Natixis Securities North America Inc. X/X X-0 Xxxxxxx, Sachs & Co. N/A A-4 Xxxxxx Xxxxxxx & Co. Incorporated N/A A-4 Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated $286,340,506 A-1A Countrywide Securities Corporation $210,590,494 A-1A Natixis Securities North America Inc. X/X X-0X Xxxxxxx, Sachs & Co. N/A A-1A Xxxxxx Xxxxxxx & Co. Incorporated N/A A-1A Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated $121,001,712 AM Countrywide Securities Corporation $88,991,288 AM Natixis Securities North America Inc. N/A AM Xxxxxxx, Sachs & Co. N/A AM Xxxxxx Xxxxxxx & Co. Incorporated N/A AM Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated $40,906,280 AM-40A Countrywide Securities Corporation $30,084,720 AM-03; 40xx A Natixis Securities North America Inc. N/A AM-A Sch. I-2 Xxxxxxx, Sachs & Co. N/A AM-A Xxxxxx Xxxxxxx & Co. Incorporated N/A AM-A Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx XxxxxxxxxIncorporated $96,801,139 AJ Countrywide Securities Corporation $71,192,861 AJ Natixis Securities North America Inc. N/A XX Xxxxxxx, Xxxxx Xxxxxxxx 00000 Attention: Wxxxxxx & Co. N/A XX Xxxxxx 2,422,154 Tortoise Capital Resources Xxxxxxx & Co. Incorporated N/A XX Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated $32,724,563 AJ-A Countrywide Securities Corporation 10000 Xxx Xxxxxx$24,067,437 AJ-A Natixis Securities North America Inc. N/A AJ-A Xxxxxxx, Xxxxx 000 & Co. N/A AJ-A Xxxxxx Xxxxxxx & Co. Incorporated N/A AJ-A Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated $18,214,822 B Countrywide Securities Corporation $13,396,178 B Natixis Securities North America Inc. X/X X Xxxxxxx, Sachs & Co. N/X X Xxxxxx 00000 1,646,376 Hxxxx Capital InvestmentsXxxxxxx & Co. Incorporated N/X X Xxxxxxx Lynch, LLC 400 Pierce, Xxxxxx & Xxxxx Incorporated $12,143,215 C Countrywide Securities Corporation $8,930,785 C Natixis Securities North America Inc. X/X X Xxxxxxx, Sachs & Co. N/X X Xxxxxx Xxxxxxx & Co. Incorporated N/A C Sch. I-3 Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx XxxxxxxxIncorporated $16,190,569 D Countrywide Securities Corporation $11,907,431 D Natixis Securities North America Inc. X/X X Xxxxxxx, Xxx Sachs & Co. N/A D Xxxxxx 00000 Attn: Nxxx X. Xxxxxxx & Co. Incorporated N/A D Xxxxxxx Lynch, Pierce, Xxxxxx Facsimile No.: & Xxxxx Incorporated $14,166,892 E Countrywide Securities Corporation $10,419,108 E Natixis Securities North America Inc. N/X X Xxxxxxx, Sachs & Co. N/X X Xxxxxx Xxxxxxx & Co. Incorporated N/X X Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated $14,166,892 F Countrywide Securities Corporation $10,419,108 F Natixis Securities North America Inc. N/X X Xxxxxxx, Sachs & Co. N/X X Xxxxxx Xxxxxxx & Co. Incorporated N/X X Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated $1,573,854,316 XP Countrywide Securities Corporation $1,157,498,684 XP Natixis Securities North America Inc. X/X XX Xxxxxxx, Sachs & Co. N/A XP Xxxxxx Xxxxxxx & Co. Incorporated N/A XP SCHEDULE I (000CONTINUED) 000Class Initial Aggregate Approximate Initial Purchase Rating(3) Designation Principal Amount of Class(1) Pass-0000 865,056 Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 62,695 MEDDS III cThrough Rate Price(2) Fitch/o Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 76,280 Total: 8,503,347 2085477v1 SCHEDULE S&P ----------- ---------------------------- ------------------- -------- --------- A-1 $ 55,677,000 4.277% 97.99995% AAA/AAA A-2 $ 258,109,000 5.590% 100.54854% AAA/AAA A-3 $ 134,799,000 5.693% 100.54679% AAA/AAA A-SB $ 90,394,000 5.644% 100.54697% AAA/AAA A-4 $ 930,974,000 5.700% 100.54661% AAA/AAA A-1A $ 496,931,000 5.696% 100.54932% AAA/AAA AM $ 209,993,000 5.856% 100.48472% AAA/AAA AM-A $ 70,991,000 5.853% 100.54613% AAA/AAA AJ $ 167,994,000 6.193% 100.54478% AAA/AAA AJ-A $ 56,792,000 6.222% 100.54918% AAA/AAA B $ 31,611,000 6.301% 99.91756% AA+/AA+ C Schedule of Free Writing Prospectuses included in the Time of Sale Prospectus - Free writing prospectus dated January 26, 2000 - Xxxx show presentation dated January 18, 2011 (posted on wxx.xxxxxxxxxxx.xxx) 2085477v1 SCHEDULE $ 21,074,000 6.301% 99.19453% AA/AA D Subsidiaries of the Company$ 28,098,000 6.301% 97.77054% AA-/AA- E $ 24,586,000 6.301% 95.36159% A+/A+ F $ 24,586,000 6.301% 92.37485% A/A XP $2,731,353,000 0.514% 2.87084% AAA/AAA
Appears in 1 contract
Samples: Pooling and Servicing Agreement (ML-CFC Commercial Mortgage Trust 2007-9)
Authority of the Representative. The Representative is duly authorized to act hereunder on behalf of the other Underwriters. Any action by the Underwriters hereunder may be taken by the Representative on behalf of the Underwriters, and any such action taken by the Representative shall be binding upon on all the Underwriters. 2085477v11 If the foregoing is in accordance with your understanding understanding, please indicate your acceptance of our agreement, kindly sign and return this Agreement by signing in the enclosed copies hereof, whereupon this instrument, along with all counterparts hereof, shall become a binding agreement in accordance with it terrmsspace provided below. Very truly yours, ABRAXAS PETROLEUM OWL ROCK CAPITAL CORPORATION By: /s/Rxxxxx L.X. Xxxxxx /s/ Axxx Xxxxxxxxxxx Name: Rxxxxx L.X. Xxxxxx Axxx Xxxxxxxxxxx Title: President & CEO SELLING STOCKHOLDERSChief Operating Officer and Chief Financial Officer OWL ROCK CAPITAL ADVISORS LLC By: CITIGROUP GLOBAL MARKETS /s/ Axxx Xxxxxxxxxxx Name: Axxx Xxxxxxxxxxx Title: Chief Operating Officer and Chief Financial Officer BOFA SECURITIES, INC. Acting on behalf of itself and the several Underwriters listed in Schedule 1 hereto. BOFA SECURITIES, INC. By: /s/ Kxxxx Xxxxxxx Name: Kxxxx Xxxxxxx Title: Head of Equities Trading for the Americas VALLEY ENERGY INVESTMENT FUND U.S., L.P. By: /s/ Exxxx x. De La Cxxx Xxxxxxx Name: Exxxx X. De La Cxxx Xxxxxxx Title: Authorized Signatory TORTOISE CAPITAL RESOURCES CORPORATION By: /s/ Txxxx Xxxxxxx Name: Txxxx Xxxxxxx Title: CEO & Managing Director for Tortoise [Signature page to Underwriting Agreement] MXXXXX X XXXXXXX ASSOCIATES By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager MEDDS III By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager HXXXX CAPITAL INVESTMENTS, LLC By: /s/ Rxxxxx X. Xxxxx Name: Rxxxxx X. Xxxxx Title: Chief Operating Officer [Signature page to Underwriting Agreement] The foregoing Underwriting Agreement is hereby confirmed and accepted by the Representative as of the date first above written. JXXXXXX RICE & COMPANY L.L.C. As representative of the several underwriters By: /s/Jxxxx Rxxxxxxx X. Xxxxxxxx Name: Jxxxxx Rxxxxxxx X. Xxxxxxxx Title: Equity Member [Signature page Managing Director Schedule 1 The Purchase Price for the Securities to Underwriting Agreement] SCHEDULE A be paid by the several Underwriters shall be 97.720% of the aggregate principal amount thereof. Underwriter Number Principal Amount of Firm Shares Securities to be Purchased Jxxxxxx Rxxx & Company L. L. C. 7,586,238 Canaccord Genuity Inc. 6,151,004 Sxxxxx, Xxxxxxxx & Company, Incorporated 5,125,837 Wxxxxxxxxx BofA Securities, Inc. 820,134 $ 235,558,000 Deutsche Bank Securities Inc. 102,222,000 SMBC Nikko Securities America, Inc. 102,222,000 SG Americas Securities, LLC 102,222,000 Gxxxxxx Sxxxx & Co. LLC 60,000,000 ING Financial Markets LLC 62,222,000 MUFG Securities Americas Inc. 60,000,000 RBC Capital Markets, LLC 60,000,000 Truist Securities, Inc. 62,222,000 CIBC World Markets Corp. 11,111,000 Compass Point Research & Trading, LLC 11,111,000 ICBC Standard Bank Plc 11,111,000 Jxxxxx Mxxxxxxxxx Xxxxx LLC 11,111,000 JMP Securities LLC 11,111,000 Kxxxx, Bxxxxxxx & Wxxxx, Inc. 11,111,000 Ladenburg Txxxxxxx & Co. Inc. 820,134 2085477v1 SCHEDULE B Selling Stockholders Selling Stockholder Number of Firm Shares to be Sold Citigroup Global Markets11,111,000 PNC Capital Markets LLC 11,111,000 R. Xxxxxxx & Co., LLC 11,111,000 Rxxxxxx Jxxxx & Associates, Inc. 300 Xxxxxxxxx Xxxxxx, 0xx Xxxxx Xxx Xxxx, Xxx Xxxx 00000 3,430,786 Valley Energy Investment Fund U.S., L.P. 200 X. Xxxxx Street NC-027-40-03; 40xx Xxxxx Xxxxxxxxx, Xxxxx Xxxxxxxx 00000 Attention: Wxxxxxx Xxxxxx 2,422,154 Tortoise Capital Resources Corporation 10000 Xxx Xxxxxx, Xxxxx 000 Xxxxxxx, Xxxxxx 00000 1,646,376 Hxxxx Capital Investments11,111,000 Seaport Global Securities LLC 31,111,000 Wxxxx Fargo Securities, LLC 400 Xxxxx Xxxxx Xxxxxxxx, Xxx Xxxxxx 00000 Attn: Nxxx X. Xxxxxx Facsimile No.: (000) 000-0000 865,056 Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 62,695 MEDDS III c/o Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 76,280 Total: 8,503,347 2085477v1 SCHEDULE C Schedule of Free Writing Prospectuses included in the Time of Sale Prospectus - Free writing prospectus dated January 26, 2000 - Xxxx show presentation dated January 18, 2011 (posted on wxx.xxxxxxxxxxx.xxx) 2085477v1 SCHEDULE D Subsidiaries of the Company11,111,000 Total $ 1,000,000,000
Appears in 1 contract
Authority of the Representative. Any action by the Underwriters hereunder may be taken by the Representative Merrill Lynch, Pierce, Fenner & Smith Incorporated on behalf of the UnderwritersUxxxxxxxxxxx, and any such action taken anx xxx suxx xxxion xxxxn by the Representative Merrill Lynch, Pierce, Fenner & Smith Incorporated shall be binding upon the Underwriters. 2085477v11 If the foregoing is in accordance with your understanding of our agreement, kindly sign and return the enclosed copies hereof, whereupon this instrument, along with all counterparts hereof, shall become a binding agreement in accordance with it terrmsuxxx xxx Xxxxxwrxxxxx. Very truly yours, ABRAXAS PETROLEUM CORPORATION By: /s/Rxxxxx L.X. Xxxxxx MERRILL LYNCH MORTGAGE INVESTORS, INC. Xx:/x/ Xxvid Rodgers -------------------------------------------- Name: Rxxxxx L.X. Xxxxxx David Rodgers Title: President & CEO SELLING STOCKHOLDERS: CITIGROUP GLOBAL MARKETS INC. By: /s/ Kxxxx Xxxxxxx Name: Kxxxx Xxxxxxx Title: Head Executive Vixx Xxxxxxxxx, Chief Officer in Charge of Equities Trading for the Americas VALLEY ENERGY INVESTMENT FUND U.S.Commercial Mortgage Securitization CONFIRMED AND ACCEPTED, L.P. By: /s/ Exxxx x. De La Cxxx Xxxxxxx Name: Exxxx X. De La Cxxx Xxxxxxx Title: Authorized Signatory TORTOISE CAPITAL RESOURCES CORPORATION By: /s/ Txxxx Xxxxxxx Name: Txxxx Xxxxxxx Title: CEO & Managing Director for Tortoise [Signature page to Underwriting Agreement] MXXXXX X XXXXXXX ASSOCIATES By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager MEDDS III By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager HXXXX CAPITAL INVESTMENTS, LLC By: /s/ Rxxxxx X. Xxxxx Name: Rxxxxx X. Xxxxx Title: Chief Operating Officer [Signature page to Underwriting Agreement] The foregoing Underwriting Agreement is hereby confirmed and accepted by the Representative as of the date first above written. JXXXXXX RICE : MERRILL LYNCH, PIERCE, FENNER & COMPANY L.L.C. As representative SMITH INCORPORATED For itself and on xxxxxx of the several underwriters By: /s/Jxxxx X. Xxxxxxxx Name: Jxxxxx X. Xxxxxxxx Title: Equity Member [Signature page to Underwriting Agreement] SCHEDULE A Underwriters Underwriter Number IXIS Xxxxxitxxx Xxrth Xxxxica Inc., KeyBanc Capital Markets, a Division of Firm Shares to be Purchased Jxxxxxx Rxxx & Company L. L. C. 7,586,238 Canaccord Genuity Inc. 6,151,004 SxxxxxMcDonald Investments Inc., Xxxxxxxx & CompanyBanc of America Securities LLC and Bear, Incorporated 5,125,837 Wxxxxxxxxx Securities, Inc. 820,134 Ladenburg Txxxxxxx Stearns & Co. Inc. 820,134 2085477v1 SCHEDULE B Selling Stockholders Selling Stockholder Number By:/s/ David Rodgers -------------------------------------------- Authorixxx Xxxxxxxxx COUNTRYWIDE SECURITIES CORPORATION By:/s/ Michael W. Schloesmann -------------------------------------------- Xxxx: Xxxxxxx X. Xxxloessmann Title: Managing Director XXNEX A ------- The First Page of Firm Shares to be Sold Citigroup Global Markets, Inc. 300 Xxxxxxxxx Xxxxxx, 0xx Xxxxx Xxx Xxxx, Xxx Xxxx 00000 3,430,786 Valley Energy Investment Fund U.S., L.P. 200 X. Xxxxx Street NC-027-40-03; 40xx Xxxxx Xxxxxxxxx, Xxxxx Xxxxxxxx 00000 Attention: Wxxxxxx Xxxxxx 2,422,154 Tortoise Capital Resources Corporation 10000 Xxx Xxxxxx, Xxxxx 000 Xxxxxxx, Xxxxxx 00000 1,646,376 Hxxxx Capital Investments, LLC 400 Xxxxx Xxxxx Xxxxxxxx, Xxx Xxxxxx 00000 Attn: Nxxx X. Xxxxxx Facsimile No.: (000) 000-0000 865,056 Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 62,695 MEDDS III c/o Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 76,280 Total: 8,503,347 2085477v1 SCHEDULE C Schedule of the Depositor's Free Writing Prospectuses included Prospectus dated February 20, 2007 The information in this free writing prospectus may be amended and/or supplemented prior to the time of sale. The information in this free writing prospectus supersedes any contrary information contained in any prior free writing prospectus relating to the subject securities and will be superseded by any contrary information contained in any subsequent free writing prospectus prior to the time of sale. In addition, certain information regarding the subject securities is not yet available and, accordingly, has been omitted from this free writing prospectus. THE DATE OF THIS FREE WRITING PROSPECTUS IS FEBRUARY 20, 2007 The depositor has filed a registration statement (including a prospectus) with the SEC (SEC File No. 333-130408) for the offering to which this communication relates. Before you invest, you should read the prospectus in that registration statement and other documents the depositor has filed with the SEC for more complete information about the depositor, the issuing entity and this offering. You may get these documents for free by visiting EDGAR on the SEC Web site at www.sec.gov. Alternatively, the depositox, xxy underwriter or any deaxxx xxxxxxxpating in the Time offering will arrange to send you the prospectus if you request it by calling toll free 866-500-5408. $4,115,871,000 (APPROXIMATE) ML-CFC COMMERCIAL MORTGAGE TRUST 2007-5 as Issuing Entity COMMERCIAL MORTGAGE PASS-THROUGH CERTIFICATES, SERIES 2007-5 MERRILL LYNCH MORTGAGE INVESTORS, INC. xx Dxxxxxtor MERRILL LYNCH MORTGAGE LENDING, INC. COUNTRYWIDE COMMXXXXXX RXXX XSTATE FINANCE, INC. KEYBANK NATIONAL ASSOCIATION IXIS REAL ESTATE CAPITAL INC. as Sponsors and Loan Sellers WELLS FARGO BANK, NATIONAL ASSOCIATION xx Loan Seller --------------- We are Merrill Lynch Mortgage Investors, Inc., the depositor with respect to xxx xxcxxxxxzation transaction that is the subject of Sale Prospectus - Free this free writing prospectus. Only the classes of commercial mortgage pass-through certificates listed in the table below are being offered by this free writing prospectus dated January 26and the accompanying base prospectus. The offered certificates represent beneficial interests only in the issuing entity identified above and will not represent obligations of or interests in the depositor, 2000 - Xxxx show presentation dated January 18, 2011 (posted on wxx.xxxxxxxxxxx.xxx) 2085477v1 SCHEDULE D Subsidiaries any sponsor or any of their respective affiliates. The assets of the Companyissuing entity will consist primarily of a pool of 333 commercial, multifamily and manufactured housing community mortgage loans with an initial mortgage pool balance of approximately $4,425,668,580 and the other characteristics described in this free writing prospectus. INVESTING IN THE OFFERED CERTIFICATES INVOLVES RISKS. YOU SHOULD CAREFULLY REVIEW THE FACTORS DESCRIBED UNDER "RISK FACTORS" BEGINNING ON PAGE 50 OF THIS FREE WRITING PROSPECTUS AND ON PAGE 18 OF THE ACCOMPANYING BASE PROSPECTUS. The holders of each class of offered certificates will be entitled to receive monthly distributions of interest, principal or both, commencing in April 2007. The offered certificates will accrue interest from March 1, 2007. The pass-through rates for some classes of the offered certificates will be variable. Credit enhancement for any particular class of the offered certificates is being provided through the subordination of various other classes, including multiple non-offered classes, of the certificates.
Appears in 1 contract
Samples: Underwriting Agreement (ML-CFC Commercial Mortgage Trust 2007-5)
Authority of the Representative. Any action by the Underwriters hereunder may be taken by In connection with this Agreement, Jefferies will act as the Representative for and on behalf of the UnderwritersPlacement Agents, and any action taken under this Agreement by the Representative, will be binding on all the Placement Agents. Each of Natixis, Xxxxxxx and Broadpoint authorizes Jefferies to manage the Placement and to take such action taken by in connection therewith as Jefferies in its sole discretion deems appropriate or desirable, consistent with the Representative shall be binding upon provisions of the UnderwritersAgreement Among Placement Agents previously entered into between Jefferies and each of Natixis, Xxxxxxx and Broadpoint. 2085477v11 If the foregoing is in accordance with your understanding of our agreement, kindly sign and return to the Company the enclosed copies hereof, whereupon this instrument, along with all counterparts hereof, shall become a binding agreement in accordance with it terrmsits terms. Very truly yours, ABRAXAS PETROLEUM CORPORATION By: /s/Rxxxxx L.X. Xxxxxx Name: Rxxxxx L.X. Xxxxxx Title: President & CEO SELLING STOCKHOLDERS: CITIGROUP GLOBAL MARKETS INC. By: /s/ Kxxxx Xxxxxxx Name: Kxxxx Xxxxxxx Title: Head of Equities Trading for the Americas VALLEY ENERGY INVESTMENT FUND U.S., L.P. By: /s/ Exxxx x. De La Cxxx Xxxxxxx Name: Exxxx X. De La Cxxx Xxxxxxx Title: Authorized Signatory TORTOISE CAPITAL RESOURCES RXi PHARMACEUTICALS CORPORATION By: /s/ Txxxx Xxxxxxx XxXxxxx Name: Txxxx Xxxxxxx Title: CEO & Managing Director for Tortoise [Signature page to Underwriting Agreement] MXXXXX X XXXXXXX ASSOCIATES By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager MEDDS III By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager HXXXX CAPITAL INVESTMENTS, LLC By: /s/ Rxxxxx X. Xxxxx Name: Rxxxxx X. Xxxxx XxXxxxx Title: Chief Operating Financial Officer [Signature page to Underwriting Agreement] The foregoing Underwriting Placement Agency Agreement is hereby confirmed and accepted by the Representative Placement Agents in New York, New York as of the date first above written. JXXXXXX RICE XXXXXXXXX & COMPANY L.L.C. As representative of the several underwriters COMPANY, INC. By: /s/Jxxxx /s/ Xxxxxxx X. Xxxxxxxx Xxxxxx Name: Jxxxxx Xxxxxxx X. Xxxxxxxx Xxxxxx Title: Equity Member [Signature page to Underwriting Agreement] SCHEDULE Managing Director NATIXIS BLEICHROEDER INC. By: /s/ Xxxxx Xxxxxxxxxx Name: Xxxxx Xxxxxxxxxx Title: Senior Managing Director BROADPOINT SECURITIES GROUP, INC. XXXXXXX SECURITIES, INC. By: /s/ Xxxx X. Xxxxxx By: /s/ Xxxxxx Xxxxxx Name: Xxxx X. Xxxxxx Name: Xxxxxx Xxxxxx Title: Managing Director Title: President and CEO EXHIBIT A Underwriters Underwriter Number of Firm Shares to be Purchased Jxxxxxx Rxxx & Company L. L. C. 7,586,238 Canaccord Genuity Inc. 6,151,004 SxxxxxSECURITIES PURCHASE AGREEMENT EXHIBIT B-1 FORM OF D&O LOCK-UP AGREEMENT [ ], Xxxxxxxx 2008 Xxxxxxxxx & Company, Incorporated 5,125,837 Wxxxxxxxxx Securities, Inc. 820,134 Ladenburg Txxxxxxx & Co. Inc. 820,134 2085477v1 SCHEDULE B Selling Stockholders Selling Stockholder Number of Firm Shares to be Sold Citigroup Global Markets, Inc. 300 Xxxxxxxxx 000 Xxxxxxx Xxxxxx, 0xx Xxxxx 00xx xxxxx Xxx Xxxx, Xxx Xxxx 00000 3,430,786 Valley Energy Investment Fund U.S.RE: RXi Pharmaceuticals Corporation Ladies & Gentlemen: The undersigned is an owner of record or beneficially of certain shares (“Shares”) of the Common Stock (the “Common Stock”), L.P. 200 X. Xxxxx Street NC-027par value $0.0001 per share, of RXi Pharmaceuticals Corporation (the “Company”) or securities convertible into or exchangeable or exercisable for Shares. The Company is proposing a private placement of Common Stock (the “Placement”) for which you will act as the Placement Agent. The undersigned recognizes that the Placement will be of benefit to the undersigned and will benefit the Company by, among other things, raising additional capital for its operations. The undersigned acknowledges that you are relying on the representations and agreements of the undersigned contained in this letter in carrying out the Placement and in entering into a placement agency agreement (the “Placement Agency Agreement”) with the Company with respect to the Placement. In consideration of the foregoing, the undersigned hereby agrees that the undersigned will not (and will cause any spouse or immediate family member of the spouse or the undersigned living in the undersigned’s household not to), without the prior written consent of Jefferies & Company, Inc. (which consent may be withheld in its sole discretion), directly or indirectly, sell, offer, contract or grant any option to sell (including without limitation any short sale), pledge, transfer, establish an open “put equivalent position” within the meaning of Rule 16a-1(h) under the Securities Exchange Act of 1934, as amended, or otherwise dispose of any Shares, options or warrants to acquire Shares, or securities exchangeable or exercisable for or convertible into Shares currently or hereafter owned either of record or beneficially (as defined in Rule 13d-3 under the Securities Exchange Act of 1934, as amended) by the undersigned (or such spouse or family member), or publicly announce an intention to do any of the foregoing, for a period commencing on the date hereof and continuing through the close of trading on the date which is 45 days after the date of the Final Prospectus filed with respect to the Shares issued in the Placement, provided that such Final Prospectus is filed no later than 120 days after the Closing Date (as defined in the Placement Agency Agreement). The undersigned also agrees and consents to the entry of stop transfer instructions with the Company’s transfer agent and registrar against the transfer of Shares or securities convertible into or exchangeable or exercisable for Shares held by the undersigned except in compliance with the foregoing restrictions. Notwithstanding the foregoing, the undersigned may transfer any Common Stock or securities convertible into or exchangeable or exercisable for Common Stock either (i) during the undersigned’s lifetime to his or her immediate family or to a trust if the beneficiaries of such trust are exclusively the undersigned and/or a member or members of his or her immediate family or (ii) upon death by will or intestacy; provided, however, that prior to any such transfer each transferee shall execute an agreement substantially identical to this agreement and which shall be satisfactory to Xxxxxxxxx & Company Inc., pursuant to which each transferee shall agree to receive and hold such Common Stock, or securities convertible into or exchangeable or exercisable for Common Stock, subject to the provisions hereof, and there shall be no further transfer except in accordance with the provisions hereof. For purposes of this paragraph, “immediate family” shall mean spouse, lineal descendant, father, mother, brother, sister or domestic partner of the transferor, whether by law or otherwise, or any grandparent, mother-40in-03; 40xx Xxxxx Xxxxxxxxxlaw, Xxxxx Xxxxxxxx 00000 Attentionfather-in-law, daughter-in-law, brother-in-law, stepchild, grandchild or step-grandchild, uncle, aunt, niece or nephew of the transferor, and which shall include adoptive relationships. With respect to the Placement, the undersigned waives any registration rights relating to registration under the Securities Act of 1933, as amended, of any Shares owned either of record or beneficially by the undersigned, including any rights to receive notice of the Placement. This agreement is irrevocable and will be binding on the undersigned and the respective successors, heirs, personal representatives, and assigns of the undersigned. This agreement shall be governed by and construed in accordance with the internal laws of the State of New York. Printed Name of Holder By: Wxxxxxx Xxxxxx 2,422,154 Tortoise Capital Resources Corporation 10000 Xxx Signature Printed Name of Person Signing (and indicate capacity of person signing if signing as custodian, trustee, or on behalf of an entity) EXHIBIT B-2 FORM OF CYTRX LOCK-UP AGREEMENT Jefferies & Company, Inc. 000 Xxxxxxx Xxxxxx, Xxxxx 000 Xxxxxxx, Xxxxxx 00000 1,646,376 Hxxxx Capital Investments, LLC 400 Xxxxx Xxxxx Xxxxxxxx00xx xxxxx Xxx Xxxx, Xxx Xxxxxx Xxxx 00000 AttnRe: Nxxx X. Xxxxxx Facsimile No.RXi Pharmaceuticals Corporation — Lock-Up Agreement Ladies & Gentlemen: The undersigned is an owner of record or beneficially of certain shares (000“Shares”) 000of the Common Stock (the “Common Stock”), par value $0.0001 per share, of RXi Pharmaceuticals Corporation (the “Company”). The Company is proposing a private placement of Common Stock (the “Placement”) for which you will act as the Placement Agent. The undersigned recognizes that the Placement will be of benefit to the undersigned and will benefit the Company by, among other things, raising additional capital for its operations. The undersigned acknowledges that you are relying on the representations and agreements of the undersigned contained in this letter in carrying out the Placement and in entering into a placement agency agreement with the Company with respect to the Placement. In consideration of the foregoing, the undersigned hereby agrees that the undersigned will not, without the prior written consent of Jefferies & Company, Inc. (“Jefferies”) (which consent may be withheld in its sole discretion), directly or indirectly, sell, offer, contract or grant any option to sell (including without limitation any short sale), pledge, transfer, establish an open “put equivalent position” within the meaning of Rule 16a-1(h) under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise dispose of any Shares, options or warrants to acquire Shares, or securities exchangeable or exercisable for or convertible into Shares currently or hereafter owned either of record or beneficially (as defined in Rule 13d-3 under the Exchange Act ) by the undersigned, or publicly announce an intention to do any of the foregoing, for a period commencing on the date hereof and continuing through the close of trading on the date which is thirty (30) days after the date of the Final Prospectus filed the Securities and Exchange Commission (“SEC”) with respect a re-0000 865,056 Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 62,695 MEDDS III c/o Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 76,280 Total: 8,503,347 2085477v1 SCHEDULE C Schedule sale registration statement (the “Registration Statement”) for the benefit of Free Writing Prospectuses included the purchasers of the Common Stock issued in the Time Placement (the “Lock-up Period”). The undersigned also agrees and consents to the entry of Sale Prospectus - Free writing prospectus dated January 26, 2000 - Xxxx show presentation dated January 18, 2011 (posted on wxx.xxxxxxxxxxx.xxx) 2085477v1 SCHEDULE D Subsidiaries of stop transfer instructions with the Company’s transfer agent and registrar against the transfer of Shares or securities convertible into or exchangeable or exercisable for Shares held by the undersigned except in compliance with the foregoing restrictions. The restrictions set forth in the immediately preceding paragraph shall not apply to:
Appears in 1 contract
Samples: Placement Agency Agreement (Rxi Pharmaceuticals Corp)
Authority of the Representative. Any action by the Underwriters hereunder may be taken by the Representative on behalf of the Underwriters, and any such action taken by the Representative shall be binding upon the Underwriters. 2085477v11 [Signature Page Follows] If the foregoing is in accordance with your understanding of our agreement, kindly sign and return to the Representative the enclosed copies hereof, whereupon this instrument, along with all counterparts hereof, shall become a binding agreement in accordance with it terrmsits terms. Very truly yours, ABRAXAS PETROLEUM CORPORATION VOYAGER OIL & GAS, INC. doing business under the assumed business name Emerald Oil, Inc. By: /s/Rxxxxx L.X. Xxxxxx /s/ MxXxxxxx Xxxxxxxx Name: Rxxxxx L.X. Xxxxxx MxXxxxxx Xxxxxxxx Title: President & CEO SELLING STOCKHOLDERS: CITIGROUP GLOBAL MARKETS INC. By: /s/ Kxxxx Xxxxxxx Name: Kxxxx Xxxxxxx Title: Head of Equities Trading for the Americas VALLEY ENERGY INVESTMENT FUND U.S., L.P. By: /s/ Exxxx x. De La Cxxx Xxxxxxx Name: Exxxx X. De La Cxxx Xxxxxxx Title: Authorized Signatory TORTOISE CAPITAL RESOURCES CORPORATION By: /s/ Txxxx Xxxxxxx Name: Txxxx Xxxxxxx Title: CEO & Managing Director for Tortoise [Signature page to Underwriting Agreement] MXXXXX X XXXXXXX ASSOCIATES By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager MEDDS III By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager HXXXX CAPITAL INVESTMENTS, LLC By: /s/ Rxxxxx X. Xxxxx Name: Rxxxxx X. Xxxxx Title: Chief Operating Officer [Signature page to Underwriting Agreement] The foregoing Underwriting Agreement is hereby confirmed and accepted by the Representative as of the date first above written. JXXXXXX RICE & COMPANY L.L.C. As representative of the several underwriters By: /s/Jxxxx /s/ Jxxxxx X. Xxxxxxxx Name: Jxxxxx X. Xxxxxxxx Title: Equity Member [GLOBAL HUNTER SECURITIES, L.L.C. As Independent Underwriter By: /s/ Gxxx Xxxxxxxx Name: Gxxx Xxxxxxxx Title: General Counsel & COO Signature page Page to Underwriting Agreement] Agreement SCHEDULE A Schedule of Underwriters Underwriter Name Number of Firm Shares to be Purchased Jxxxxxx Rxxx & Company L. L. C. 7,586,238 L.L.C. Canaccord Genuity Inc. 6,151,004 Sxxxxx, Xxxxxxxx & Company, Incorporated 5,125,837 Wxxxxxxxxx Macquarie Capital (USA) Inc. Global Hunter Securities, LLC Bxxxxxx Securities Inc.* TOTAL 93,750,000 * KLR Group operates pursuant to an Office of Supervisory Jurisdiction agreement with Bxxxxxx Securities Inc. 820,134 Ladenburg Txxxxxxx & Co. Inc. 820,134 2085477v1 SCHEDULE B Selling Stockholders Selling Stockholder Number of Firm Shares to be Sold Citigroup Global Markets, Inc. 300 Xxxxxxxxx Xxxxxx, 0xx Xxxxx Xxx Xxxx, Xxx Xxxx 00000 3,430,786 Valley Energy Investment Fund U.S., L.P. 200 X. Xxxxx Street NC-027-40-03; 40xx Xxxxx Xxxxxxxxx, Xxxxx Xxxxxxxx 00000 Attention: Wxxxxxx Xxxxxx 2,422,154 Tortoise Capital Resources Corporation 10000 Xxx Xxxxxx, Xxxxx 000 Xxxxxxx, Xxxxxx 00000 1,646,376 Hxxxx Capital Investments, LLC 400 Xxxxx Xxxxx Xxxxxxxx, Xxx Xxxxxx 00000 Attn: Nxxx X. Xxxxxx Facsimile No.: (000) 000-0000 865,056 Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 62,695 MEDDS III c/o Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 76,280 Total: 8,503,347 2085477v1 SCHEDULE C Schedule of Free Writing Prospectuses included in the Time of Sale Prospectus - Free writing prospectus dated January 26September 24, 2000 - Xxxx show presentation dated January 18, 2011 (posted on wxx.xxxxxxxxxxx.xxx) 2085477v1 2012 SCHEDULE C Information None SCHEDULE D Subsidiaries of the Company Emerald Oil, Inc. Delaware, Colorado Emerald WB LLC Colorado, North Dakota Emerald GRB LLC Colorado, Wyoming Sxxxxx Dome Gathering LLLP Colorado EXHIBIT A FORM OF OPINION OF MXXXX XXXXX EXHIBIT B FORM OF OPINION OF MXXXXXX BELLINGHAM EXHIBIT C Form of Lock-Up Agreement ________________, 2012 Jxxxxxx Rice & Company L.L.C. 600 Xxxxxx Xxxxxx, Xxxxx 0000 Xxx Xxxxxxx, Xxxxxxxxx 00000 As Representative of the several Underwriters RE: Voyager Oil & Gas, Inc., a Montana corporation doing business under the assumed business name Emerald Oil, Inc. (the “Company”) Ladies & Gentlemen: The undersigned is an owner of record or beneficially of certain shares of common stock, par value $.001 per share, of the Company (“Shares”) or securities convertible into or exchangeable or exercisable for Shares. The Company proposes to carry out a public offering of Shares (the “Offering”) for which you will act as the representative of the several underwriters. The undersigned recognizes that the Offering will be of benefit to the undersigned and will benefit the Company. The undersigned acknowledges that you and the other underwriters are relying on the representations and agreements of the undersigned contained in this agreement in carrying out the Offering and in entering into an underwriting arrangement with the Company with respect to the Offering. Capitalized terms used, but not defined, in this agreement shall have the meaning given such terms in the Underwriting Agreement to be entered into between Jxxxxxx Rxxx & Company L.L.C., as representative of the several underwriters named therein (the “Representative”), and the Company (the “Underwriting Agreement”). In consideration of the foregoing, the undersigned hereby agrees that the undersigned will not, and will cause any spouse or immediate family member of the undersigned or such person living in the undersigned’s household (a “Family Member”) not to, without your prior written consent, which consent may be withheld in your sole discretion), directly or indirectly, sell, offer, contract or grant any option to sell (including without limitation any short sale), pledge, transfer, establish an open “put equivalent position” within the meaning of Rule 16a-1(h) under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), enter into a swap or other derivatives transaction that transfers to another, in whole or in part, any economic benefits or risk of ownership of such Shares, or otherwise dispose of any Shares, options or warrants to acquire Shares, or securities exchangeable or exercisable for or convertible into Shares currently or hereafter owned either of record or beneficially (as defined in Rule 13d-3 under the Exchange Act by the undersigned (or such spouse or family member), or publicly announce an intention to do any of the foregoing, for a period commencing on the date hereof and continuing through the close of trading on the date 120 days after the date of the Prospectus (as defined in the Underwriting Agreement relating to the Offering to which the Company is a party) (the “Lock-Up Period”); provided, that if (i) during the last 17 days of the Lock-up Period, the Company issues an earnings release or material news or a material event relating to the Company occurs or (ii) prior to the expiration of the Lock-up Period, the Company announces that it will release earnings results during the 16-day period beginning on the last day of the Lock-up Period, then in each case the Lock-up Period will be extended until the expiration of the 18-day period beginning on the date of the issuance of the earnings release or the occurrence of the material news or material event, as applicable, unless you waive, in writing, such extension, except that such extension will not apply if, (i) at the expiration of the Lock-up Period, the Shares are “actively traded securities” (as defined in Securities and Exchange Commission Regulation M) and (ii) the Company meets the applicable requirements of paragraph (a)(1) of Rule 139 under the Securities Act of 1933, as amended, in the manner contemplated by NASD Rule 2711(f)(4) of the FINRA Manual. Notwithstanding the foregoing, and subject to the conditions below, the undersigned may transfer Shares, options or warrants to acquire Shares or other securities exchangeable or exercisable for or convertible into Shares without the prior written consent of the Representative; provided that (1) the Representative receives a signed lock-up agreement in the form of this agreement for the balance of the Lock-Up Period from each donee, trustee, distributee, or transferee, as the case may be, (2) any such transfer shall not involve a disposition for value, (3) such transfers are not publicly reportable under the Securities Act of 1933, as amended, the Exchange Act and their related rules and regulations, and (4) the undersigned does not otherwise voluntarily effect any public filing or report regarding such transfers:
Appears in 1 contract
Samples: Voyager Oil & Gas, Inc.
Authority of the Representative. Any action by the Underwriters hereunder may be taken by the Representative Merrill Lynch, Pierce, Fenner & Smith Incorporated on behalf of the UnderwritersUnxxxxxxxers, and any such action taken sucx xxxxon xxxxx by the Representative Merrill Lynch, Pierce, Fenner & Smith Incorporated shall be binding upon the upxx xxx Underwriters. 2085477v11 If the foregoing is in accordance with your understanding of our agreement, kindly sign and return the enclosed copies hereof, whereupon this instrument, along with all counterparts hereof, shall become a binding agreement in accordance with it terrms. Very truly yours, ABRAXAS PETROLEUM CORPORATION ByMERRILL LYNCH MORTGAGE INVESTORS, INC. Xy: /s/Rxxxxx L.X. Xxxxxx Name: Rxxxxx L.X. Xxxxxx /x/ David M. Rodgers ----------------------------------------- Title: President & CEO SELLING STOCKHOLDERS: CITIGROUP GLOBAL MARKETS INC. By: /s/ Kxxxx Xxxxxxx Name: Kxxxx Xxxxxxx Title: Head Executive Vice President, Chief Officer in Charge of Equities Trading for the Americas VALLEY ENERGY INVESTMENT FUND U.S.Commercial Mortgage Securitization CONFIRMED AND ACCEPTED, L.P. By: /s/ Exxxx x. De La Cxxx Xxxxxxx Name: Exxxx X. De La Cxxx Xxxxxxx Title: Authorized Signatory TORTOISE CAPITAL RESOURCES CORPORATION By: /s/ Txxxx Xxxxxxx Name: Txxxx Xxxxxxx Title: CEO & Managing Director for Tortoise [Signature page to Underwriting Agreement] MXXXXX X XXXXXXX ASSOCIATES By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager MEDDS III By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager HXXXX CAPITAL INVESTMENTS, LLC By: /s/ Rxxxxx X. Xxxxx Name: Rxxxxx X. Xxxxx Title: Chief Operating Officer [Signature page to Underwriting Agreement] The foregoing Underwriting Agreement is hereby confirmed and accepted by the Representative as of the date first above written. JXXXXXX RICE : MERRILL LYNCH, PIERCE, FENNER & COMPANY L.L.C. As representative SMITH INCORPORATED For itself and on xxxxxx of PNC Capital Mxxxxxx LLX, Xxrgan Stanley & Co. Incorporated and Goldman, Sachs & Co. By: /s/ Daxxx X. Xxxxxxx --------------------------------------- Authorized Sixxxxxxx XXXXXXXWIDE SECURITIES CORPORATION By: /s/ Michael W. Schloessmann --------------------------------------- Name: Xxxxxxx X. Xxxxxxxxxxxx Title: Managing Director XXXXX A The First Page of the several underwriters By: /s/Jxxxx X. Xxxxxxxx Name: Jxxxxx X. Xxxxxxxx Title: Equity Member [Signature page to Underwriting Agreement] Depositor's Free Writing Prospectus dated May 21, 2007 ANNEX B The First Page of the Depositor's Free Writing Prospectus dated May 31, 2007 ANNEX C The First Two Pages of the Preliminary Structural and Collateral Term Sheet dated May 21, 2007 SCHEDULE A I ML-CFC Commercial Mortgage Pass-Through Certificates, Series 2007-7, Class A-1, Class A-2, Class A-SB, Class A-4, Class A-1A, Class AM, Class AJ, Class B, Class C and Class D. Underwriters Underwriter Number Amount of Firm Shares Certificates to be Purchased Jxxxxxx Rxxx Class of Certificates to be Purchased ------------------------------------- -------------------------------------- ------------------------------------- Merrill Lynch, Pierce, Fenner & Company L. L. C. 7,586,238 Canaccord Genuity Inc. 6,151,004 SxxxxxSmith $30,000, Xxxxxxxx & Company, Incorporated 5,125,837 Wxxxxxxxxx Securities, Inc. 820,134 Ladenburg Txxxxxxx 002 X-1 Xxxxxporated Countrywide Securities Corporation $22,585,658 A-1 PNC Capital Markets LLC $0 A-1 Morgan Stanley & Co. Inc. 820,134 2085477v1 Incorporated $0 A-1 Goldman, Sachs & Co. $0 A-1 Merrill Lynch, Pierce, Fenner & Smith $63,000,005 X-2 Xxxxxporated Countrywide Securities Corporation $47,006,645 A-2 PNC Capital Markets LLC $0 A-2 Morgan Stanley & Co. Incorporated $0 A-2 Goldman, Sachs & Co. $0 A-2 Merrill Lynch, Pierce, Fenner & Smith $59,000,006 X-SB Xxxxxporated Countrywide Securities Corporation $43,602,844 A-SB PNC Capital Markets LLC $0 A-SB Morgan Stanley & Co. Incorporated $0 A-SB Goldman, Sachs & Co. $0 A-SB Merrill Lynch, Pierce, Fenner & Smith $000,000,000 X-4 Xxxxxporated Countrywide Securities Corporation $334,289,040 A-4 PNC Capital Markets LLC $0 A-4 Morgan Stanley & Co. Incorporated $0 A-4 Goldman, Sachs & Co. $0 A-4 Merrill Lynch, Pierce, Fenner & Smith $348,000,006 X-1A Xxxxxporated Countrywide Securities Corporation $257,040,624 A-1A PNC Capital Markets LLC $0 A-1A Morgan Stanley & Co. Incorporated $0 A-1A Goldman, Sachs & Co. $0 A-1A Merrill Lynch, Pierce, Fenner & Smith $134,000,007 XM Ixxxxxorated Countrywide Securities Corporation $99,085,263 AM PNC Capital Markets LLC $0 AM Morgan Stanley & Co. Incorporated $0 AM Goldman, Sachs & Co. $0 AM Merrill Lynch, Pierce, Fenner & Smith $100,000,004 XJ Ixxxxxorated Countrywide Securities Corporation $73,972,316 AJ PNC Capital Markets LLC $0 AJ Morgan Stanley & Co. Incorporated $0 AJ Goldman, Sachs & Co. $0 AJ Merrill Lynch, Pierce, Fenner & Smith $00,000,004 B Ixxxxxorated Countrywide Securities Corporation $23,635,266 B PNC Capital Markets LLC $0 B Morgan Stanley & Co. Incorporated $0 B Goldman, Sachs & Co. $0 B Merrill Lynch, Pierce, Fenner & Smith $16,000,007 C Ixxxxxorated Countrywide Securities Corporation $11,817,633 C PNC Capital Markets LLC $0 C Morgan Stanley & Co. Incorporated $0 C Goldman, Sachs & Co. $0 C Merrill Lynch, Pierce, Fenner & Smith $26,000,005 D Ixxxxxorated Countrywide Securities Corporation $19,203,495 D PNC Capital Markets LLC $0 D Morgan Stanley & Co. Incorporated $0 D Goldman, Sachs & Co. $0 D SCHEDULE I (CONTINUED) Class Initial Aggregate Approximate Initial Purchase Rating(3) Designation Principal Amount of Class(1) Pass-Through Rate Price(2) Moody's/S&P ----------- ---------------------------- ------------------- --------- ----------- A-1 $53,236,000 5.549% 100.24865% Aaa/AAA A-2 $110,798,000 5.693% 100.54942% Aaa/AAA A-SB $102,775,000 5.745% 100.54940% Aaa/AAA A-4 $787,943,000 5.750% 100.54561% Aaa/AAA A-1A $605,863,000 5.750% 100.00000% Aaa/AAA AM $233,551,000 5.750% 100.00000% Aaa/AAA AJ $174,358,000 5.750% 99.99723% Aaa/AAA B Selling Stockholders Selling Stockholder Number of Firm Shares to be Sold Citigroup Global Markets, Inc. 300 Xxxxxxxxx Xxxxxx, 0xx Xxxxx Xxx Xxxx, Xxx Xxxx 00000 3,430,786 Valley Energy Investment Fund U.S., L.P. 200 X. Xxxxx Street NC-027-40-03; 40xx Xxxxx Xxxxxxxxx, Xxxxx Xxxxxxxx 00000 Attention: Wxxxxxx Xxxxxx 2,422,154 Tortoise Capital Resources Corporation 10000 Xxx Xxxxxx, Xxxxx 000 Xxxxxxx, Xxxxxx 00000 1,646,376 Hxxxx Capital Investments, LLC 400 Xxxxx Xxxxx Xxxxxxxx, Xxx Xxxxxx 00000 Attn: Nxxx X. Xxxxxx Facsimile No.: (000) 000-0000 865,056 Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 62,695 MEDDS III c$55,710,000 5.750% 99.47732% Aa2/o Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 76,280 Total: 8,503,347 2085477v1 SCHEDULE AA C Schedule of Free Writing Prospectuses included in the Time of Sale Prospectus - Free writing prospectus dated January 26, 2000 - Xxxx show presentation dated January 18, 2011 (posted on wxx.xxxxxxxxxxx.xxx) 2085477v1 SCHEDULE $27,855,000 5.750% 98.81872% Aa3/AA- D Subsidiaries of the Company$45,264,000 5.750% 98.02117% A2/A
Appears in 1 contract
Samples: Underwriting Agreement (ML-CFC Commercial Mortgage Trust 2007-7)
Authority of the Representative. Any action by the Underwriters hereunder may be taken by the Representative Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated on behalf of the Underwriters, and any such action taken by the Representative Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated shall be binding upon the Underwriters. 2085477v11 If the foregoing is in accordance with your understanding of our agreement, kindly sign and return the enclosed copies hereof, whereupon this instrument, along with all counterparts hereof, shall become a binding agreement in accordance with it terrms. Very truly yours, ABRAXAS PETROLEUM CORPORATION By: /s/Rxxxxx L.X. Xxxxxx Name: Rxxxxx L.X. Xxxxxx Title: President & CEO SELLING STOCKHOLDERS: CITIGROUP GLOBAL MARKETS XXXXXXX XXXXX MORTGAGE INVESTORS, INC. By: /s/ Kxxxx /S/ Xxxxx X. Xxxxxxx Name: Kxxxx Xxxxxxx ------------------------------------- Title: Head of Equities Trading for the Americas VALLEY ENERGY INVESTMENT FUND U.S.CONFIRMED AND ACCEPTED, L.P. By: /s/ Exxxx x. De La Cxxx Xxxxxxx Name: Exxxx X. De La Cxxx Xxxxxxx Title: Authorized Signatory TORTOISE CAPITAL RESOURCES CORPORATION By: /s/ Txxxx Xxxxxxx Name: Txxxx Xxxxxxx Title: CEO & Managing Director for Tortoise [Signature page to Underwriting Agreement] MXXXXX X XXXXXXX ASSOCIATES By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager MEDDS III By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager HXXXX CAPITAL INVESTMENTS, LLC By: /s/ Rxxxxx X. Xxxxx Name: Rxxxxx X. Xxxxx Title: Chief Operating Officer [Signature page to Underwriting Agreement] The foregoing Underwriting Agreement is hereby confirmed and accepted by the Representative as of the date first above written. JXXXXXX RICE : XXXXXXX LYNCH, PIERCE, XXXXXX & COMPANY L.L.C. As representative XXXXX INCORPORATED For itself and on behalf of Citigroup Global Markets Inc. and PNC Capital Markets LLC By: /S/ Xxxxx X. Xxxxxxx ------------------------------------- Authorized Signatory BANC OF AMERICA SECURITIES LLC By: /S/ Xxxx X. Xxxxxx --------------------------------- Name: Xxxx X. Xxxxxx Title: Vice President ANNEX A The First Page of the several underwriters By: /s/Jxxxx X. Xxxxxxxx Name: Jxxxxx X. Xxxxxxxx Title: Equity Member [Signature page Depositor's Free Writing Prospectus dated May 16, 2008 THE DATE OF THIS FREE WRITING PROSPECTUS IS MAY 16, 2008 The depositor has filed a registration statement (including a prospectus) with the SEC (SEC File No. 333-142235) for the offering to Underwriting Agreement] SCHEDULE A Underwriters Underwriter Number of Firm Shares which this communication relates. Before you invest, you should read the prospectus in that registration statement and other documents the depositor has filed with the SEC for more complete information about the depositor, the issuing entity and this offering. You may get these documents for free by visiting XXXXX on the SEC website at xxx.xxx.xxx. Alternatively, the depositor, any underwriter or any dealer participating in the offering will arrange to be Purchased Jxxxxxx Rxxx & Company L. L. C. 7,586,238 Canaccord Genuity Inc. 6,151,004 Sxxxxx, Xxxxxxxx & Company, Incorporated 5,125,837 Wxxxxxxxxx Securities, Inc. 820,134 Ladenburg Txxxxxxx & Co. Inc. 820,134 2085477v1 SCHEDULE B Selling Stockholders Selling Stockholder Number of Firm Shares to be Sold Citigroup Global Markets, Inc. 300 Xxxxxxxxx Xxxxxx, 0xx Xxxxx Xxx Xxxx, Xxx Xxxx 00000 3,430,786 Valley Energy Investment Fund U.S., L.P. 200 X. Xxxxx Street NC-027send you the prospectus if you request it by calling toll-40-03; 40xx Xxxxx Xxxxxxxxx, Xxxxx Xxxxxxxx 00000 Attention: Wxxxxxx Xxxxxx 2,422,154 Tortoise Capital Resources Corporation 10000 Xxx Xxxxxx, Xxxxx 000 Xxxxxxx, Xxxxxx 00000 1,646,376 Hxxxx Capital Investments, LLC 400 Xxxxx Xxxxx Xxxxxxxx, Xxx Xxxxxx 00000 Attn: Nxxx X. Xxxxxx Facsimile No.: (000) free 000-0000 865,056 Mxxxxx X. 000-0000. COMMERCIAL MORTGAGE PASS-THROUGH CERTIFICATES, SERIES 2008-C1 $814,758,000 (Approximate) XXXXXXX XXXXX MORTGAGE TRUST 2008-C1 as Issuing Entity XXXXXXX XXXXX MORTGAGE INVESTORS, INC. as Depositor BANK OF AMERICA, NATIONAL ASSOCIATION DEXIA REAL ESTATE CAPITAL MARKETS XXXXXXX XXXXX MORTGAGE LENDING, INC. PNC BANK, NATIONAL ASSOCIATION GENERAL ELECTRIC CAPITAL CORPORATION CAPMARK FINANCE INC. as Sponsors and Loan Sellers ---------- We are Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx ClosterMortgage Investors, New Jersey 07624 62,695 MEDDS III c/o Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx ClosterInc., New Jersey 07624 76,280 Total: 8,503,347 2085477v1 SCHEDULE C Schedule the depositor with respect to the securitization transaction that is the subject of Free Writing Prospectuses included this offering prospectus. This offering prospectus relates to, and is accompanied by, our base prospectus dated May 10, 2007. Only the classes of commercial mortgage pass-through certificates listed in the Time table below are being offered by this offering prospectus and the accompanying base prospectus. The offered certificates represent beneficial interests only in the issuing entity identified above and will not represent obligations of Sale Prospectus - Free writing prospectus dated January 26or interests in us, 2000 - Xxxx show presentation dated January 18, 2011 (posted on wxx.xxxxxxxxxxx.xxx) 2085477v1 SCHEDULE D Subsidiaries any sponsor or any of their respective affiliates. The assets of the Companyissuing entity will consist primarily of a pool of 92 commercial, multifamily and manufactured housing community mortgage loans with an initial mortgage pool balance of approximately $948,772,134 and the other characteristics described in this offering prospectus. INVESTING IN THE OFFERED CERTIFICATES INVOLVES RISKS. YOU SHOULD CAREFULLY REVIEW THE FACTORS DESCRIBED UNDER "RISK FACTORS" BEGINNING ON PAGE 42 OF THIS OFFERING PROSPECTUS AND ON PAGE 20 OF THE ACCOMPANYING BASE PROSPECTUS. The holders of each class of offered certificates will be entitled to receive monthly distributions of interest, principal or both, commencing in July 2008. The offered certificates will accrue interest from June 1, 2008. Credit enhancement for any particular class of the offered certificates is being provided through the subordination of various other classes, including multiple non-offered classes, of the certificates. APPROXIMATE APPROXIMATE EXPECTED INITIAL TOTAL INITIAL RATINGS PRINCIPAL PASS-THROUGH ASSUMED FINAL RATED FINAL (FITCH/XXXXX'X/S&P) BALANCE RATE DISTRIBUTION DATE DISTRIBUTION DATE ------------------- ------------- ------------ ----------------- -----------------
Appears in 1 contract
Authority of the Representative. Any action by the Underwriters hereunder may be taken by the Representative Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated on behalf of the Underwriters, and any such action taken by the Representative Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated shall be binding upon the Underwriters. 2085477v11 If the foregoing is in accordance with your understanding of our agreement, kindly sign and return the enclosed copies hereof, whereupon this instrument, along with all counterparts hereof, shall become a binding agreement in accordance with it terrms. Very truly yours, ABRAXAS PETROLEUM CORPORATION By: /s/Rxxxxx L.X. Xxxxxx Name: Rxxxxx L.X. Xxxxxx XXXXXXX XXXXX MORTGAGE INVESTORS, INC. By /s/ Xxxxx X. Xxxxxxx ------------------------------------ Title: Executive Vice President & CEO SELLING STOCKHOLDERS: CITIGROUP GLOBAL MARKETS INC. By: /s/ Kxxxx Xxxxxxx Name: Kxxxx Xxxxxxx Title: Head Chief Officer in Charge of Equities Trading for the Americas VALLEY ENERGY INVESTMENT FUND U.S.Commercial Mortgage Securitization CONFIRMED AND ACCEPTED, L.P. By: /s/ Exxxx x. De La Cxxx Xxxxxxx Name: Exxxx X. De La Cxxx Xxxxxxx Title: Authorized Signatory TORTOISE CAPITAL RESOURCES CORPORATION By: /s/ Txxxx Xxxxxxx Name: Txxxx Xxxxxxx Title: CEO & Managing Director for Tortoise [Signature page to Underwriting Agreement] MXXXXX X XXXXXXX ASSOCIATES By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager MEDDS III By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager HXXXX CAPITAL INVESTMENTS, LLC By: /s/ Rxxxxx X. Xxxxx Name: Rxxxxx X. Xxxxx Title: Chief Operating Officer [Signature page to Underwriting Agreement] The foregoing Underwriting Agreement is hereby confirmed and accepted by the Representative as of the date first above written. JXXXXXX RICE : XXXXXXX LYNCH, PIERCE, XXXXXX & COMPANY L.L.C. As representative XXXXX INCORPORATED For itself and on behalf of the several underwriters By: /s/Jxxxx Underwriters listed on Schedule I. By /s/ Xxxxx X. Xxxxxxxx Name: Jxxxxx X. Xxxxxxxx Title: Equity Member [Signature page to Underwriting Agreement] Xxxxxxx ---------------------------------- Authorized Signatory ANNEX A The First Page of the Depositor's Free Writing Prospectus dated March 14, 2006 ANNEX B The First Page of the Depositor's Term Sheet dated March 13, 2006 ANNEX C The First Page of the Depositor's Term Sheet dated March 22, 2006 ANNEX D Pricing Information Annex SCHEDULE A Underwriters Underwriter Number I MLCFC Commercial Mortgage Pass-Through Certificates, Series 2006-1, Class A-1, Class X-0, Xxxxx X-0, Class A-3FL, Class X-0X, Xxxxx X-0, Class A-1A, Class AM, Class AJ, Class B, Class C and Class D. Amount of Firm Shares Class of Certificates Certificates to be to be Underwriters Purchased Jxxxxxx Rxxx Purchased -------------------------------------------------- ------------ ------------ Xxxxxxx Lynch, Pierce, Xxxxxx & Company L. L. C. 7,586,238 Canaccord Genuity Inc. 6,151,004 SxxxxxXxxxx Incorporated $ 37,176,217 A-1 Countrywide Securities Corporation $ 27,823,783 A-1 EHY Securities (USA), Xxxxxxxx & CompanyLLC $ 0 X-0 Xxxx xx Xxxxxxx Securities LLC $ 0 X-0 Xxxxxxx, Incorporated 5,125,837 Wxxxxxxxxx Securities, Inc. 820,134 Ladenburg Txxxxxxx Sachs & Co. Inc. 820,134 2085477v1 SCHEDULE B Selling Stockholders Selling Stockholder Number $ 0 A-1 Xxxxxx Xxxxxxx & Co. Incorporated $ 0 A-1 Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated $220,854,139 A-2 Countrywide Securities Corporation $116,645,862 A-2 EHY Securities (USA), LLC $ 0 X-0 Xxxx xx Xxxxxxx Securities LLC $ 0 X-0 Xxxxxxx, Sachs & Co. $ 0 A-2 Xxxxxx Xxxxxxx & Co. Incorporated $ 0 A-2 Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated $ 37,833,950 A-3 Countrywide Securities Corporation $ 28,316,050 A-3 EHY Securities (USA), LLC $ 0 X-0 Xxxx xx Xxxxxxx Securities LLC $ 0 X-0 Xxxxxxx, Sachs & Co. $ 0 A-3 Xxxxxx Xxxxxxx & Co. Incorporated $ 0 A-3 Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated $ 60,139,680 A-3FL Countrywide Securities Corporation $ 45,010,321 A-3FL EHY Securities (USA), LLC $ 0 A-3FL Banc of Firm Shares to be Sold Citigroup Global MarketsAmerica Securities LLC $ 0 A-3FL Xxxxxxx, Inc. 300 Xxxxxxxxx XxxxxxSachs & Co. $ 0 A-3FL Xxxxxx Xxxxxxx & Co. Incorporated $ 0 A-3FL Xxxxxxx Lynch, 0xx Pierce, Xxxxxx & Xxxxx Xxx XxxxIncorporated $ 42,895,634 A-3B Countrywide Securities Corporation $ 32,104,366 A-3B EHY Securities (USA), Xxx LLC $ 0 X-0X Xxxx 00000 3,430,786 Valley Energy Investment Fund U.S.xx Xxxxxxx Securities LLC $ 0 X-0X Xxxxxxx, L.P. 200 X. Sachs & Co. $ 0 A-3B Xxxxxx Xxxxxxx & Co. Incorporated $ 0 A-3B Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Street NC-027Incorporated $ 69,204,957 A-40SB Countrywide Securities Corporation $ 51,795,043 A-03; 40xx SB EHY Securities (USA), LLC $ 0 X-XX Xxxx xx Xxxxxxx Securities LLC $ 0 A-XX Xxxxxxx, Sachs & Co. $ 0 A-XX Xxxxxx Xxxxxxx & Co. Incorporated $ 0 A-XX Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx XxxxxxxxxIncorporated $279,955,785 A-4 Countrywide Securities Corporation $209,527,216 A-4 EHY Securities (USA), LLC $ 0 X-0 Xxxx xx Xxxxxxx Securities LLC $ 0 X-0 Xxxxxxx, Sachs & Co. $ 0 A-4 Xxxxxx Xxxxxxx & Co. Incorporated $ 0 A-4 Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated $137,266,030 A-1A Countrywide Securities Corporation $102,733,970 A-1A EHY Securities (USA), LLC $ 0 X-0X Xxxx xx Xxxxxxx Securities LLC $ 0 X-0X Xxxxxxx, Sachs & Co. $ 0 A-1A Xxxxxx Xxxxxxx & Co. Incorporated $ 0 A-1A Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated $122,500,209 AM Countrywide Securities Corporation $ 91,682,791 AM EHY Securities (USA), LLC $ 0 AM Banc of America Securities LLC $ 0 AM Xxxxxxx, Sachs & Co. $ 0 AM Xxxxxx Xxxxxxx & Co. Incorporated $ 0 AM Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated $ 46,931,256 AJ Countrywide Securities Corporation $ 35,124,744 AJ EHY Securities (USA), LLC $ 0 AJ Banc of America Securities LLC $ 0 XX Xxxxxxx, Xxxxx Xxxxxxxx 00000 Attention: Wxxxxxx & Co. $ 0 XX Xxxxxx 2,422,154 Tortoise Capital Resources Xxxxxxx & Co. Incorporated $ 0 XX Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated $ 29,093,535 B Countrywide Securities Corporation 10000 Xxx Xxxxxx$ 21,774,465 B EHY Securities (USA), Xxxxx 000 LLC $ 0 X Xxxx xx Xxxxxxx Securities LLC $ 0 B Xxxxxxx, Sachs & Co. $ 0 B Xxxxxx 00000 1,646,376 Hxxxx Capital InvestmentsXxxxxxx & Co. Incorporated $ 0 B Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated $ 12,250,421 C Countrywide Securities Corporation $ 9,168,579 C EHY Securities (USA), LLC 400 $ 0 C Banc of America Securities LLC $ 0 C Xxxxxxx, Sachs & Co. $ 0 C Xxxxxx Xxxxxxx & Co. Incorporated $ 0 C Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Xxxxx XxxxxxxxIncorporated $ 16,843,686 D Countrywide Securities Corporation $ 12,606,314 D EHY Securities (USA), Xxx Xxxxxx 00000 Attn: Nxxx X. Xxxxxx Facsimile No.: LLC $ 0 D Banc of America Securities LLC $ 0 D Goldman, Sachs & Co. $ 0 D Morgan Xxxxxxx & Co. Incorporated $ 0 D SCHEDULE I (000CONTINUED) 000Class Initial Aggregate Approximate Initial Purchase Rating(3) Designation Principal Amount of Class(1) Pass-0000 865,056 Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 62,695 MEDDS III cThrough Rate Price(2) S&P/o Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 76,280 Total: 8,503,347 2085477v1 SCHEDULE Fitch/Dominion ----------- ---------------------------- ------------------- --------- ------------------ A-1 $ 65,000,000.00 5.414% 100.49944% AAA/AAA/AAA A-2 $337,500,000.00 5.439% 100.54889% XXX/XXX/XXX X-0 $ 66,150,000.00 5.671% 100.54847% AAA/AAA/AAA A-3FL $105,150,000.00 LIBOR + 0.200% 100.00000% XXX/XXX/XXX X-0X $ 75,000,000.00 5.670% 100.54806% AAA/AAA/AAA A-SB $121,000,000.00 5.645% 100.54817% AAA/AAA/AAA A-4 $489,483,000.00 5.621% 100.54542% AAA/AAA/AAA A-1A $240,000,000.00 5.620% 100.54900% AAA/AAA/AAA AM $214,183,000.00 5.671% 100.54892% AAA/AAA/AAA AJ $ 82,056,000.00 5.720% 100.54472% AAA/AAA/AAA B $ 50,868,000.00 5.722% 100.26219% AA/AA/AA C Schedule of Free Writing Prospectuses included in the Time of Sale Prospectus - Free writing prospectus dated January 26, 2000 - Xxxx show presentation dated January 18, 2011 (posted on wxx.xxxxxxxxxxx.xxx) 2085477v1 SCHEDULE $ 21,419,000.00 5.722% 100.11378% AA(Low)/AA-/AA- D Subsidiaries of the Company$ 29,450,000.00 5.722% 99.52286% A/A/A
Appears in 1 contract
Samples: Underwriting Agreement (MLCFC Commercial Mortgage Trust Series 2006-1)
Authority of the Representative. The Representative is duly authorized to act hereunder on behalf of the other Underwriters. Any action by the Underwriters hereunder may be taken by the Representative on behalf of the Underwriters, and any such action taken by the Representative shall be binding upon on all the Underwriters. 2085477v11 If the foregoing is in accordance with your understanding understanding, please indicate your acceptance of our agreement, kindly sign and return this Agreement by signing in the enclosed copies hereof, whereupon this instrument, along with all counterparts hereof, shall become a binding agreement in accordance with it terrmsspace provided below. Very truly yours, ABRAXAS PETROLEUM OWL ROCK CAPITAL CORPORATION By: /s/Rxxxxx L.X. Xxxxxx /s/ Axxx Xxxxxxxxxxx Name: Rxxxxx L.X. Xxxxxx Axxx Xxxxxxxxxxx Title: President & CEO SELLING STOCKHOLDERSChief Operating Officer and Chief Financial Officer OWL ROCK CAPITAL ADVISORS LLC By: CITIGROUP GLOBAL MARKETS /s/ Axxx Xxxxxxxxxxx Name: Axxx Xxxxxxxxxxx Title: Chief Operating Officer and Chief Financial Officer [Signature Page to the Underwriting Agreement] BOFA SECURITIES, INC. Acting on behalf of itself and the several Underwriters listed in Schedule 1 hereto. BOFA SECURITIES, INC. By: /s/ Kxxxx Xxxxxxx Sxxxxxx Xxxxxx Name: Kxxxx Xxxxxxx Sxxxxxx Xxxxxx Title: Head of Equities Trading Managing Director The Purchase Price for the Americas VALLEY ENERGY INVESTMENT FUND U.S., L.P. By: /s/ Exxxx x. De La Cxxx Xxxxxxx Name: Exxxx X. De La Cxxx Xxxxxxx Title: Authorized Signatory TORTOISE CAPITAL RESOURCES CORPORATION By: /s/ Txxxx Xxxxxxx Name: Txxxx Xxxxxxx Title: CEO & Managing Director for Tortoise [Signature page Securities to Underwriting Agreement] MXXXXX X XXXXXXX ASSOCIATES By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager MEDDS III By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager HXXXX CAPITAL INVESTMENTS, LLC By: /s/ Rxxxxx X. Xxxxx Name: Rxxxxx X. Xxxxx Title: Chief Operating Officer [Signature page to Underwriting Agreement] The foregoing Underwriting Agreement is hereby confirmed and accepted be paid by the Representative as several Underwriters shall be 98.899% of the date first above writtenaggregate principal amount thereof, plus accrued interest from June 11, 2021 up to, but not including, the Closing Date. JXXXXXX RICE & COMPANY L.L.C. As representative Underwriter Principal Amount of the several underwriters By: /s/Jxxxx X. Xxxxxxxx Name: Jxxxxx X. Xxxxxxxx Title: Equity Member [Signature page to Underwriting Agreement] SCHEDULE A Underwriters Underwriter Number of Firm Shares Securities to be Purchased Jxxxxxx Rxxx & Company L. L. C. 7,586,238 Canaccord Genuity Inc. 6,151,004 Sxxxxx, Xxxxxxxx & Company, Incorporated 5,125,837 Wxxxxxxxxx BofA Securities, Inc. 820,134 $ 82,500,000 ING Financial Markets LLC 40,000,000 MUFG Securities Americas Inc. 40,000,000 SMBC Nikko Securities America, Inc. 40,000,000 Truist Securities, Inc. 40,000,000 J.X. Xxxxxx Securities LLC 25,000,000 RBC Capital Markets, LLC 25,000,000 SG Americas Securities, LLC 25,000,000 Compass Point Research & Trading, LLC 7,500,000 ICBC Standard Bank Plc 7,500,000 JMP Securities LLC 7,500,000 Kxxxx, Bxxxxxxx & Wxxxx, Inc. 7,500,000 Ladenburg Txxxxxxx & Co. Inc. 820,134 2085477v1 SCHEDULE B Selling Stockholders Selling Stockholder Number of Firm Shares to be Sold Citigroup Global Markets7,500,000 Oxxxxxxxxxx & Co. Inc. 7,500,000 PNC Capital Markets LLC 7,500,000 Rxxxxxx Jxxxx & Associates, Inc. 300 Xxxxxxxxx Xxxxxx, 0xx Xxxxx Xxx Xxxx, Xxx Xxxx 00000 3,430,786 Valley Energy Investment Fund U.S., L.P. 200 X. Xxxxx Street NC-027-40-03; 40xx Xxxxx Xxxxxxxxx, Xxxxx Xxxxxxxx 00000 Attention: Wxxxxxx Xxxxxx 2,422,154 Tortoise Capital Resources Corporation 10000 Xxx Xxxxxx, Xxxxx 000 Xxxxxxx, Xxxxxx 00000 1,646,376 Hxxxx Capital Investments7,500,000 R. Xxxxxxx & Co., LLC 400 Xxxxx Xxxxx Xxxxxxxx7,500,000 Seaport Global Securities LLC 7,500,000 Wxxxx Fargo Securities, Xxx Xxxxxx 00000 Attn: Nxxx X. Xxxxxx Facsimile No.: (000) 000-0000 865,056 Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 62,695 MEDDS III c/o Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 76,280 Total: 8,503,347 2085477v1 SCHEDULE C Schedule of Free Writing Prospectuses included in the Time of Sale Prospectus - Free writing prospectus dated January 26, 2000 - Xxxx show presentation dated January 18, 2011 (posted on wxx.xxxxxxxxxxx.xxx) 2085477v1 SCHEDULE D Subsidiaries of the CompanyLLC 7,500,000 Total $ 400,000,000
Appears in 1 contract
Authority of the Representative. The Representative is duly authorized to act hereunder on behalf of the other Underwriters. Any action by the Underwriters hereunder may be taken by the Representative on behalf of the Underwriters, and any such action taken by the Representative shall be binding upon on all the Underwriters. 2085477v11 If the foregoing is in accordance with your understanding understanding, please indicate your acceptance of our agreement, kindly sign and return this Agreement by signing in the enclosed copies hereof, whereupon this instrument, along with all counterparts hereof, shall become a binding agreement in accordance with it terrmsspace provided below. Very truly yours, ABRAXAS PETROLEUM CORPORATION By: /s/Rxxxxx L.X. Xxxxxx Name: Rxxxxx L.X. Xxxxxx Title: President & CEO SELLING STOCKHOLDERS: CITIGROUP GLOBAL MARKETS SIXTH STREET SPECIALTY LENDING, INC. By: /s/ Kxxxx Xxxxxxx Xxx X. Xxxxxxxx Name: Kxxxx Xxxxxxx Xxx X. Xxxxxxxx Title: Head of Equities Trading for the Americas VALLEY ENERGY INVESTMENT FUND U.S., L.P. By: /s/ Exxxx x. De La Cxxx Xxxxxxx Name: Exxxx X. De La Cxxx Xxxxxxx Title: Authorized Signatory TORTOISE CAPITAL RESOURCES CORPORATION By: /s/ Txxxx Xxxxxxx Name: Txxxx Xxxxxxx Title: CEO & Managing Director for Tortoise [Signature page to Underwriting Agreement] MXXXXX X XXXXXXX ASSOCIATES By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager MEDDS III By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager HXXXX CAPITAL INVESTMENTSChief Financial Officer SIXTH STREET SPECIALTY LENDING ADVISERS, LLC By: /s/ Rxxxxx X. Xxxxx Name: Rxxxxx X. Xxxxx Title: Chief Operating Officer [Signature page to Underwriting Agreement] The foregoing Underwriting Agreement is hereby confirmed and accepted by the Representative as of the date first above written. JXXXXXX RICE & COMPANY L.L.C. As representative of the several underwriters By: /s/Jxxxx Xxx X. Xxxxxxxx Name: Jxxxxx Xxx X. Xxxxxxxx Title: Equity Member [Signature page Vice President BOFA SECURITIES, INC. Acting on behalf of itself and the several Underwriters listed in Schedule 1 hereto. BOFA SECURITIES, INC. By: /s/ Xxxxxxxx X. Xxxxxxxx Name: Xxxxxxxx X. Xxxxxxxx Title: Managing Director Schedule 1 The Purchase Price for the Securities to Underwriting Agreement] SCHEDULE A be paid by the several Underwriters shall be 98.268% of the aggregate principal amount thereof. Underwriter Number Principal Amount of Firm Shares Securities to be Purchased Jxxxxxx Rxxx BofA Securities, Inc. $ 54,000,000 X.X. Xxxxxx Securities LLC 54,000,000 SMBC Nikko Securities America, Inc. 30,000,000 Citigroup Global Markets Inc. 18,000,000 Xxxxxxx Xxxxx & Company L. L. C. 7,586,238 Canaccord Genuity Co. LLC 18,000,000 HSBC Securities (USA) Inc. 6,151,004 Sxxxxx6,000,000 Mizuho Securities USA LLC 15,000,000 Xxxxxx Xxxxxxx & Co. LLC 15,000,000 MUFG Securities Americas Inc. 18,000,000 RBC Capital Markets, LLC 18,000,000 Truist Securities, Inc. 18,000,000 Xxxxx Fargo Securities, LLC 6,000,000 Comerica Securities, Inc. 3,000,000 ICBC Standard Bank Plc 4,500,000 Xxxxxx Xxxxxxxxxx Xxxxx LLC 3,000,000 JMP Securities LLC 3,000,000 Xxxxx, Xxxxxxxx & Company, Incorporated 5,125,837 Wxxxxxxxxx SecuritiesXxxxx, Inc. 820,134 Ladenburg Txxxxxxx 6,000,000 X. Xxxxxxx & Co. Inc. 820,134 2085477v1 SCHEDULE B Selling Stockholders Selling Stockholder Number of Firm Shares to be Sold Citigroup Global MarketsCo., LLC 3,000,000 Xxxxxxx Xxxxx & Associates, Inc. 300 Xxxxxxxxx Xxxxxx, 0xx Xxxxx Xxx Xxxx, Xxx Xxxx 00000 3,430,786 Valley Energy 3,000,000 Santander Investment Fund U.S., L.P. 200 X. Xxxxx Street NC-027-40-03; 40xx Xxxxx Xxxxxxxxx, Xxxxx Xxxxxxxx 00000 Attention: Wxxxxxx Xxxxxx 2,422,154 Tortoise Capital Resources Corporation 10000 Xxx Xxxxxx, Xxxxx 000 Xxxxxxx, Xxxxxx 00000 1,646,376 Hxxxx Capital Investments, LLC 400 Xxxxx Xxxxx Xxxxxxxx, Xxx Xxxxxx 00000 Attn: Nxxx X. Xxxxxx Facsimile No.: (000) 000-0000 865,056 Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 62,695 MEDDS III c/o Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 76,280 Total: 8,503,347 2085477v1 SCHEDULE C Securities Inc. 4,500,000 Total $ 300,000,000 Schedule of Free Writing Prospectuses included in the Time of Sale Prospectus - Free writing prospectus dated January 26, 2000 - Xxxx show presentation dated January 18, 2011 (posted on wxx.xxxxxxxxxxx.xxx) 2085477v1 SCHEDULE D Subsidiaries of the Company2
Appears in 1 contract
Samples: Administration Agreement (Sixth Street Specialty Lending, Inc.)
Authority of the Representative. The Representative is duly authorized to act hereunder on behalf of the other Underwriters. Any action by the Underwriters hereunder may be taken by the Representative on behalf of the Underwriters, and any such action taken by the Representative shall be binding upon on all the Underwriters. 2085477v11 If the foregoing is in accordance with your understanding understanding, please indicate your acceptance of our agreement, kindly sign and return this Agreement by signing in the enclosed copies hereof, whereupon this instrument, along with all counterparts hereof, shall become a binding agreement in accordance with it terrmsspace provided below. Very truly yours, ABRAXAS PETROLEUM OWL ROCK CAPITAL CORPORATION By: /s/Rxxxxx L.X. Xxxxxx /s/ Axxx Xxxxxxxxxxx Name: Rxxxxx L.X. Xxxxxx Axxx Xxxxxxxxxxx Title: President & CEO SELLING STOCKHOLDERSChief Operating Officer and Chief Financial Officer OWL ROCK CAPITAL ADVISORS LLC By: CITIGROUP GLOBAL MARKETS /s/ Axxx Xxxxxxxxxxx Name: Axxx Xxxxxxxxxxx Title: Chief Operating Officer and Chief Financial Officer BOFA SECURITIES, INC. Acting on behalf of itself and the several Underwriters listed in Schedule 1 hereto. BOFA SECURITIES, INC. By: /s/ Kxxxx Xxxxxxx Sxxxx Xxxxxx Name: Kxxxx Xxxxxxx Sxxxx Xxxxxx Title: Head of Equities Trading Managing Director The Purchase Price for the Americas VALLEY ENERGY INVESTMENT FUND U.S., L.P. By: /s/ Exxxx x. De La Cxxx Xxxxxxx Name: Exxxx X. De La Cxxx Xxxxxxx Title: Authorized Signatory TORTOISE CAPITAL RESOURCES CORPORATION By: /s/ Txxxx Xxxxxxx Name: Txxxx Xxxxxxx Title: CEO & Managing Director for Tortoise [Signature page Securities to Underwriting Agreement] MXXXXX X XXXXXXX ASSOCIATES By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager MEDDS III By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager HXXXX CAPITAL INVESTMENTS, LLC By: /s/ Rxxxxx X. Xxxxx Name: Rxxxxx X. Xxxxx Title: Chief Operating Officer [Signature page to Underwriting Agreement] The foregoing Underwriting Agreement is hereby confirmed and accepted be paid by the Representative as several Underwriters shall be 97.754% of the date first above writtenaggregate principal amount thereof. JXXXXXX RICE & COMPANY L.L.C. As representative Underwriter Principal Amount of the several underwriters By: /s/Jxxxx X. Xxxxxxxx Name: Jxxxxx X. Xxxxxxxx Title: Equity Member [Signature page to Underwriting Agreement] SCHEDULE A Underwriters Underwriter Number of Firm Shares Securities to be Purchased Jxxxxxx Rxxx & Company L. L. C. 7,586,238 Canaccord Genuity Inc. 6,151,004 Sxxxxx, Xxxxxxxx & Company, Incorporated 5,125,837 Wxxxxxxxxx BofA Securities, Inc. 820,134 $ 112,000,000 ING Financial Markets LLC 54,400,000 MUFG Securities Americas Inc. 54,400,000 SG Americas Securities, LLC 54,400,000 SMBC Nikko Securities America, Inc. 54,400,000 Truist Securities, Inc. 54,400,000 Compass Point Research & Trading, LLC 6,000,000 ICBC Standard Bank Plc 6,000,000 JMP Securities LLC 6,000,000 Kxxxx, Bxxxxxxx & Wxxxx, Inc. 6,000,000 Ladenburg Txxxxxxx & Co. Inc. 820,134 2085477v1 SCHEDULE B Selling Stockholders Selling Stockholder Number of Firm Shares to be Sold Citigroup Global Markets6,000,000 Oxxxxxxxxxx & Co. Inc. 6,000,000 PNC Capital Markets LLC 6,000,000 R. Xxxxxxx & Co., LLC 6,000,000 Rxxxxxx Jxxxx & Associates, Inc. 300 Xxxxxxxxx Xxxxxx, 0xx Xxxxx Xxx Xxxx, Xxx Xxxx 00000 3,430,786 Valley Energy Investment Fund U.S., L.P. 200 X. Xxxxx Street NC-027-40-03; 40xx Xxxxx Xxxxxxxxx, Xxxxx Xxxxxxxx 00000 Attention: Wxxxxxx Xxxxxx 2,422,154 Tortoise Capital Resources Corporation 10000 Xxx Xxxxxx, Xxxxx 000 Xxxxxxx, Xxxxxx 00000 1,646,376 Hxxxx Capital Investments6,000,000 Seaport Global Securities LLC 6,000,000 Wxxxx Fargo Securities, LLC 400 Xxxxx Xxxxx Xxxxxxxx, Xxx Xxxxxx 00000 Attn: Nxxx X. Xxxxxx Facsimile No.: (000) 000-0000 865,056 Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 62,695 MEDDS III c/o Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 76,280 Total: 8,503,347 2085477v1 SCHEDULE C 6,000,000 Total $ 450,000,000 Schedule of Free Writing Prospectuses included in the Time of Sale Prospectus - Free writing prospectus dated January 26, 2000 - Xxxx show presentation dated January 18, 2011 (posted on wxx.xxxxxxxxxxx.xxx) 2085477v1 SCHEDULE D Subsidiaries of the Company2
Appears in 1 contract
Authority of the Representative. Any action by the Underwriters hereunder may be taken by the Representative on behalf of the Underwriters, and any such action taken by the Representative shall be binding upon the Underwriters. 2085477v11 If the foregoing is in accordance with your understanding of our agreement, kindly sign and return to the Representative the enclosed copies hereof, whereupon this instrument, along with all counterparts hereof, shall become a binding agreement in accordance with it terrmsits terms. Very truly yours, ABRAXAS PETROLEUM CORPORATION By: /s/Rxxxxx L.X. Xxxxxx Name: Rxxxxx L.X. Xxxxxx Title: President & CEO SELLING STOCKHOLDERS: CITIGROUP GLOBAL MARKETS INC. By: /s/ Kxxxx Xxxxxxx Name: Kxxxx Xxxxxxx Title: Head of Equities Trading for the Americas VALLEY XXXXXXX ENERGY INVESTMENT FUND U.S., L.P. By: /s/ Exxxx x. De La Cxxx Xxxxxxx Name: Exxxx X. De La Cxxx Xxxxxxx Title: Authorized Signatory TORTOISE CAPITAL RESOURCES CORPORATION By: /s/ Txxxx Xxxxxxx X. Xxxx Name: Txxxx Xxxxxxx X. Xxxx Title: CEO & Managing Director for Tortoise [Senior Vice President, Chief Financial Officer and Secretary Signature page Page to Underwriting Agreement] MXXXXX X XXXXXXX ASSOCIATES By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager MEDDS III By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager HXXXX CAPITAL INVESTMENTS, LLC By: /s/ Rxxxxx X. Xxxxx Name: Rxxxxx X. Xxxxx Title: Chief Operating Officer [Signature page to Underwriting Agreement] Agreement The foregoing Underwriting Agreement is hereby confirmed and accepted by the Representative as of the date first above written. JXXXXXX XXXXXXX RICE & COMPANY L.L.C. As representative of the several underwriters By: /s/Jxxxx /s/ Xxxxxx X. Xxxxxxxx Name: Jxxxxx Xxxxxx X. Xxxxxxxx Title: Equity Member [Signature page to Underwriting Agreement] SCHEDULE A Schedule of Underwriters Underwriter Name Number of Firm Shares to be Purchased Jxxxxxx Rxxx Xxxxxxx Xxxx & Company L. L. C. 7,586,238 L.L.C. 4,848,000 RBC Capital Markets, LLC 1,920,000 Capital One Securities, Inc. 576,000 SunTrust Xxxxxxxx Xxxxxxxx, Inc. 576,000 Canaccord Genuity Inc. 6,151,004 Sxxxxx240,000 Global Hunter Securities, LLC 240,000 Macquarie Capital (USA) Inc. 240,000 Xxxxxx Xxxxx + Co., LLC 240,000 Xxxxxxx & Company International 240,000 Xxxxxxxx Inc. 240,000 Xxxxxx, Xxxxxxxx & Company, Incorporated 5,125,837 Wxxxxxxxxx Securities, Inc. 820,134 Ladenburg Txxxxxxx & Co. Inc. 820,134 2085477v1 240,000 TOTAL 9,600,000 SCHEDULE B Selling Stockholders Selling Stockholder Number of Firm Shares to be Sold Citigroup Global Markets, Inc. 300 Xxxxxxxxx Xxxxxx, 0xx Xxxxx Xxx Xxxx, Xxx Xxxx 00000 3,430,786 Valley Energy Investment Fund U.S., L.P. 200 X. Xxxxx Street NC-027-40-03; 40xx Xxxxx Xxxxxxxxx, Xxxxx Xxxxxxxx 00000 Attention: Wxxxxxx Xxxxxx 2,422,154 Tortoise Capital Resources Corporation 10000 Xxx Xxxxxx, Xxxxx 000 Xxxxxxx, Xxxxxx 00000 1,646,376 Hxxxx Capital Investments, LLC 400 Xxxxx Xxxxx Xxxxxxxx, Xxx Xxxxxx 00000 Attn: Nxxx X. Xxxxxx Facsimile No.: (000) 000-0000 865,056 Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 62,695 MEDDS III c/o Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 76,280 Total: 8,503,347 2085477v1 SCHEDULE C Schedule of Information and Free Writing Prospectuses included in the Time of Sale Prospectus - Free writing prospectus Writing Prospectus dated January 26September 12, 2000 - Xxxx show presentation dated January 18, 2011 (posted on wxx.xxxxxxxxxxx.xxx) 2085477v1 2013 SCHEDULE C Other Information None SCHEDULE D Subsidiaries of the CompanySEP Holdings III, LLC Delaware XX Xxxxxxx LLC Delaware SN Cotulla Assets, LLC Texas SN Midstream, LLC Delaware SN Operating, LLC Texas SN TMS, LLC Delaware EXHIBIT A FORM OF OPINION OF AKIN GUMP XXXXXXX XXXXX & XXXX LLP
Appears in 1 contract
Authority of the Representative. The Representative is duly authorized to act hereunder on behalf of the other Underwriters. Any action by the Underwriters hereunder may be taken by the Representative on behalf of the Underwriters, and any such action taken by the Representative shall be binding upon on all the Underwriters. 2085477v11 If the foregoing is in accordance with your understanding understanding, please indicate your acceptance of our agreement, kindly sign and return this Agreement by signing in the enclosed copies hereof, whereupon this instrument, along with all counterparts hereof, shall become a binding agreement in accordance with it terrmsspace provided below. Very truly yours, ABRAXAS PETROLEUM OWL ROCK CAPITAL CORPORATION By: /s/Rxxxxx L.X. Xxxxxx /s/ Axxx Xxxxxxxxxxx Name: Rxxxxx L.X. Xxxxxx Axxx Xxxxxxxxxxx Title: President & CEO SELLING STOCKHOLDERSChief Operating Officer and Chief Financial Officer OWL ROCK CAPITAL ADVISORS LLC By: CITIGROUP GLOBAL MARKETS /s/ Axxx Xxxxxxxxxxx Name: Axxx Xxxxxxxxxxx Title: Chief Operating Officer and Chief Financial Officer BOFA SECURITIES, INC. Acting on behalf of itself and the several Underwriters listed in Schedule 1 hereto. BOFA SECURITIES, INC. By: /s/ Kxxxx Xxxxxxx Name: Kxxxx Xxxxxxx Title: Head of Equities Trading for the Americas VALLEY ENERGY INVESTMENT FUND U.S., L.P. By: /s/ Exxxx x. De La Cxxx Xxxxxxx Name: Exxxx X. De La Cxxx Xxxxxxx Title: Authorized Signatory TORTOISE CAPITAL RESOURCES CORPORATION By: /s/ Txxxx Xxxxxxx Name: Txxxx Xxxxxxx Title: CEO & Managing Director for Tortoise [Signature page to Underwriting Agreement] MXXXXX X XXXXXXX ASSOCIATES By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager MEDDS III By: /s/ Mxxxxx X. Xxxxxxx Name: Mxxxxx X. Xxxxxxx Title: Manager HXXXX CAPITAL INVESTMENTS, LLC By: /s/ Rxxxxx X. Xxxxx Name: Rxxxxx X. Xxxxx Title: Chief Operating Officer [Signature page to Underwriting Agreement] The foregoing Underwriting Agreement is hereby confirmed and accepted by the Representative as of the date first above written. JXXXXXX RICE & COMPANY L.L.C. As representative of the several underwriters By: /s/Jxxxx Rxxxxxxx X. Xxxxxxxx Name: Jxxxxx Rxxxxxxx X. Xxxxxxxx Title: Equity Member [Signature page Managing Director Schedule 1 The Purchase Price for the Securities to Underwriting Agreement] SCHEDULE A be paid by the several Underwriters shall be 98.037% of the aggregate principal amount thereof. Underwriter Number Principal Amount of Firm Shares Securities to be Purchased Jxxxxxx Rxxx & Company L. L. C. 7,586,238 Canaccord Genuity Inc. 6,151,004 Sxxxxx, Xxxxxxxx & Company, Incorporated 5,125,837 Wxxxxxxxxx BofA Securities, Inc. 820,134 $ 112,000,000 J.X. Xxxxxx Securities LLC 48,000,000 MUFG Securities Americas Inc. 48,000,000 RBC Capital Markets, LLC 48,000,000 SMBC Nikko Securities America, Inc. 48,000,000 Deutsche Bank Securities Inc. 26,000,000 Gxxxxxx Sachs & Co. LLC 26,000,000 ING Financial Markets LLC 26,000,000 SG Americas Securities, LLC 26,000,000 Truist Securities, Inc. 26,000,000 Compass Point Research & Trading, LLC 6,000,000 ICBC Standard Bank Plc 6,000,000 JMP Securities LLC 6,000,000 Kxxxx, Bxxxxxxx & Wxxxx, Inc. 6,000,000 Ladenburg Txxxxxxx & Co. Inc. 820,134 2085477v1 SCHEDULE B Selling Stockholders Selling Stockholder Number of Firm Shares to be Sold Citigroup Global Markets6,000,000 Oxxxxxxxxxx & Co. Inc. 6,000,000 PNC Capital Markets LLC 6,000,000 R. Xxxxxxx & Co., LLC 6,000,000 Rxxxxxx Jxxxx & Associates, Inc. 300 Xxxxxxxxx Xxxxxx, 0xx Xxxxx Xxx Xxxx, Xxx Xxxx 00000 3,430,786 Valley Energy Investment Fund U.S., L.P. 200 X. Xxxxx Street NC-027-40-03; 40xx Xxxxx Xxxxxxxxx, Xxxxx Xxxxxxxx 00000 Attention: Wxxxxxx Xxxxxx 2,422,154 Tortoise Capital Resources Corporation 10000 Xxx Xxxxxx, Xxxxx 000 Xxxxxxx, Xxxxxx 00000 1,646,376 Hxxxx Capital Investments6,000,000 Seaport Global Securities LLC 6,000,000 Wxxxx Fargo Securities, LLC 400 Xxxxx Xxxxx Xxxxxxxx, Xxx Xxxxxx 00000 Attn: Nxxx X. Xxxxxx Facsimile No.: (000) 000-0000 865,056 Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 62,695 MEDDS III c/o Mxxxxx X. Xxxxxxx Associates Attn: Mxxxxx X. Xxxxxxx 500 Xxxxx Xxxxxx Closter, New Jersey 07624 76,280 Total: 8,503,347 2085477v1 SCHEDULE C 6,000,000 Total $ 500,000,000 Schedule of Free Writing Prospectuses included in the Time of Sale Prospectus - Free writing prospectus dated January 26, 2000 - Xxxx show presentation dated January 18, 2011 (posted on wxx.xxxxxxxxxxx.xxx) 2085477v1 SCHEDULE D Subsidiaries of the Company2
Appears in 1 contract
Samples: Owl Rock Capital Corp