Common use of Delivery of Records Upon Expiration or Early Termination Clause in Contracts

Delivery of Records Upon Expiration or Early Termination. Upon the expiration or early termination of this Agreement for any reason, the Dealer Manager shall (i) promptly forward any and all funds, if any, in its possession which were received from investors for the sale of Shares into the Escrow Account for the deposit of investor funds, (ii) to the extent not previously provided to the Company, provide a list of all investors who have subscribed for or purchased shares and all broker-dealers with whom the Dealer Manager has entered into a Selected Dealer Agreement, (iii) notify Selected Dealers of such termination, and (iv) promptly deliver to the Company copies of any sales literature designed for use specifically for the Offering that it is then in the process of preparing. Upon expiration or earlier termination of this Agreement, the Company shall pay to the Dealer Manager all compensation to which the Dealer Manager is or becomes entitled under Section 3(f) at such time as such compensation becomes payable.

Appears in 3 contracts

Samples: Exclusive Dealer Manager Agreement (BUSINESS DEVELOPMENT Corp OF AMERICA II), Exclusive Dealer Manager Agreement (BUSINESS DEVELOPMENT Corp OF AMERICA II), Exclusive Dealer Manager Agreement (BDCA Senior Capital, Inc.)

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Delivery of Records Upon Expiration or Early Termination. Upon the expiration or early termination of this Agreement for any reason, the Dealer Manager shall shall: (i) promptly forward any and all funds, if any, in its possession which were received from investors for the sale of Shares into the Escrow Account for the deposit of investor funds, ; (ii) to the extent not previously provided to the Company, provide Company a list of all investors who have subscribed for or purchased shares and all broker-dealers with whom the Dealer Manager has entered into a Selected Participating Broker-Dealer Agreement, ; (iii) notify Selected Participating Broker-Dealers of such termination, and ; and (iv) promptly deliver to the Company copies of any sales literature designed for use specifically for the Offering that it is then in the process of preparing. Upon expiration or earlier termination of this Agreement, the Company shall pay to the Dealer Manager all compensation to which the Dealer Manager is or becomes entitled under Section 3(f3(d) at such time as such compensation becomes payable.

Appears in 2 contracts

Samples: Dealer Manager Agreement (Terra Fixed Income Trust, Inc.), Dealer Manager Agreement (Terra Secured Income Trust, Inc.)

Delivery of Records Upon Expiration or Early Termination. Upon the expiration or early termination of this Agreement for any reason, the Dealer Manager shall shall: (i) promptly forward any and all funds, if any, in its possession which were received from investors for the sale of Shares into the Escrow Account for the deposit of investor funds, ; (ii) to the extent not previously provided to the Company, provide Company a list of all investors who have subscribed for or purchased shares and all broker-dealers with whom the Dealer Manager has entered into a Selected Dealer Agreement, ; (iii) notify Selected Dealers of such termination, and ; and (iv) promptly deliver to the Company copies of any sales literature designed for use specifically for the Offering that it is then in the process of preparing. Upon expiration or earlier termination of this Agreement, the Company shall pay to the Dealer Manager all compensation to which the Dealer Manager is or becomes entitled under Section 3(f3(d) at such time as such compensation becomes payable.

Appears in 2 contracts

Samples: Dealer Manager Agreement (Carey Watermark Investors Inc), Dealer Manager Agreement (Carey Watermark Investors Inc)

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Delivery of Records Upon Expiration or Early Termination. Upon the expiration or early termination of this Agreement for any reason, the Dealer Manager shall shall: (i) promptly forward any and all funds, if any, in its possession which were received from investors for the sale of Shares into the Escrow Account Preferred Stock for the deposit of investor funds, deposit; (ii) to the extent not previously provided to the Company, provide Company a list of all investors who have subscribed for or purchased shares Preferred Stock and all broker-dealers Financial Intermediaries with whom the Dealer Manager has entered into a Financial Intermediary Agreement or Selected Dealer Investment Advisor Agreement, ; (iii) notify Selected Soliciting Dealers of such termination, and ; and (iv) promptly deliver to the Company copies of any sales literature designed for use specifically for the Offering that it is then in the process of preparing. Upon expiration or earlier termination of this Agreement, the Company shall pay to the Dealer Manager all compensation to which the Dealer Manager is or becomes entitled under Section 3(f3(e) at such time as such compensation becomes payable.

Appears in 1 contract

Samples: Dealer Manager Agreement (Prospect Capital Corp)

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