Common use of Notices and Actions Related to Securities Clause in Contracts

Notices and Actions Related to Securities. 8.3.1. The Custodian shall promptly notify the Client of all official notices, circulars, reports and announcements (both mandatory and discretionary) in respect of Securities held for the Client received in its capacity as Custodian. With regard to events requiring discretionary action, the Custodian shall advise the Client of the applicable timeframe for taking any action elected by the Client. The Custodian’s notice obligation does not include notices, circulars, reports and announcements in regard to a class action. 8.3.2. The Custodian is responsible only for the form, accuracy and content of any notice, circular, report, announcement or other material prepared by the Custodian or its Agent, including translations. The Custodian is not responsible for inaccuracy or incompleteness of any information in notices or information prepared by other persons, including issuers or Clearance Systems, used by the Custodian to provide any notice to the Client or forwarded by the Custodian to the Client or for the failure of such persons to act to provide any information. 8.3.3. The Custodian shall act on discretionary matters in accordance with Instructions sent within applicable cut off times. The Client agrees that the Custodian will not participate in or take any action concerning any discretionary matter, including shareholder voting, if the Custodian does not receive a timely Instruction. Notwithstanding any other provision in this Agreement, the Custodian will be required to provide shareholder voting services only as specified in a separate proxy services letter agreement between the Custodian and the Client. 8.3.4. The Client acknowledges that in some markets the Custodian or its Agent may be required to vote all Securities of a particular issue for all of its clients in the same way and may not be able to effect split voting without regard to any Instruction.

Notices and Actions Related to Securities. 8.3.110.3.1. The Custodian shall promptly notify the Client of all official notices, circulars, reports and announcements (both mandatory and discretionary) in respect of Securities held for the Client received in its capacity as Custodian. With regard to events requiring discretionary action, the Custodian shall advise the Client of the applicable timeframe for taking any action elected by the Client. The Custodian’s notice obligation does not include notices, circulars, reports and announcements in regard to a class action. 8.3.210.3.2. The Custodian is responsible only for the form, accuracy and content of any notice, circular, report, announcement or other material prepared by the Custodian or its Agent, including translations. The Custodian is not responsible for inaccuracy or incompleteness of any information in notices or information prepared by other persons, including issuers or Clearance Systems, used by the Custodian to provide any notice to the Client or forwarded by the Custodian to the Client or for the failure of such persons to act to provide any information. 8.3.310.3.3. The Custodian shall act on discretionary matters in accordance with Instructions sent within applicable cut off times. The Client agrees that the Custodian will not participate in or take any action concerning any discretionary matter, including shareholder voting, if the Custodian does not receive a timely Instruction. Notwithstanding any other provision in this Agreement, the Custodian will be required to provide shareholder voting services only as specified in a separate proxy services letter agreement between the Custodian and the Client. 8.3.410.3.4. The Client acknowledges that in some markets the Custodian or its Agent may be required to vote all Securities of a particular issue for all of its clients in the same way and may not be able to effect split voting without regard to any Instruction.

Notices and Actions Related to Securities. 8.3.1. 8.3.1 The Custodian shall promptly notify the Client of all official notices, circulars, reports and announcements (both mandatory and discretionary) in respect of Securities held for the Client received in its capacity as Custodian. With regard to events requiring discretionary action, the Custodian shall advise the Client of the applicable timeframe for taking any action elected by the Client. The For the avoidance of doubt the Custodian’s notice obligation does not include notices, circulars, reports and announcements in regard to a class action. 8.3.2. 8.3.2 The Custodian is will be responsible only for the form, accuracy and content of any notice, circular, report, announcement or other material prepared by the Custodian or its Agent, including translations. The Custodian is will not be responsible for inaccuracy errors or incompleteness of any information omissions in notices or information prepared by other persons, including issuers or Clearance Systems, used by the Custodian to provide any notice to the Client or forwarded by the Custodian to the Client or for the failure of such persons to act to provide any informationClient. 8.3.3. 8.3.3 The Custodian shall act on discretionary matters in accordance with Instructions sent within applicable cut off times. The Client agrees acknowledges that the Custodian will not participate in or take any action concerning any discretionary matter, including shareholder voting, matter if the Custodian does not receive a timely Instructioninstruction. Notwithstanding any other provision in this Agreement, the Custodian will shall not be required to provide any shareholder voting services services, and will assist the Client with shareholder voting only to the extent as specified in a separate proxy services letter agreement between Clause 5.9 of the Custodian and the ClientAgreement. 8.3.4. 8.3.4 The Client acknowledges that in some markets the Custodian or its Agent may be required to vote take action in connection with corporate actions (excluding the exercise of voting rights) affecting all Securities of a particular issue for all of its clients in the same way and may not be able to effect split voting without regard to take action in a different way, regardless of any Instruction.

Notices and Actions Related to Securities. 8.3.1. The Custodian shall promptly notify the Client of all official notices, circulars, reports and announcements (both mandatory and discretionary) in respect of Securities held for the Client received in its capacity as Custodian. With regard to events requiring discretionary action, the Custodian shall advise the Client of the applicable timeframe for taking any action elected by the Client. The For the avoidance of doubt the Custodian’s notice obligation does not include notices, circulars, reports and announcements in regard to a class action. 8.3.2. The Custodian is will be responsible only for the form, accuracy and content of any notice, circular, report, announcement or other material prepared by the Custodian or its Agent, including translations. The Custodian is will not be responsible for inaccuracy errors or incompleteness of any information omissions in notices or information prepared by other persons, including issuers or Clearance Systems, used by the Custodian to provide any notice to the Client or forwarded by the Custodian to the Client or for the failure of such persons to act to provide any informationClient. 8.3.3. The Custodian shall act on discretionary matters in accordance with Instructions sent within applicable cut off times. The Client agrees acknowledges that the Custodian will not participate in or take any action concerning any discretionary matter, including shareholder voting, if the Custodian does not receive a timely Instruction. Notwithstanding any other provision in this Agreement, the Custodian will be required to provide shareholder voting services only as specified in a separate proxy services letter agreement between the Custodian and the Client. 8.3.4. The Client acknowledges that in some markets the Custodian or its Agent may be required to vote all Securities of a particular issue for all of its clients in the same way and may not be able to effect split voting without regard to any Instruction.

Notices and Actions Related to Securities. 8.3.1. The Custodian shall promptly notify the Client of all official notices, circulars, reports and announcements (both mandatory and discretionary) in respect of Securities held for the Client received in its capacity as Custodian. With regard to events requiring discretionary action, the Custodian shall advise the Client of the applicable timeframe for taking any action elected by the Client. The Custodian’s notice obligation does not include notices, circulars, reports and announcements in regard to a class action. 8.3.2. The Custodian is responsible only for the form, accuracy and content of any notice, circular, report, announcement or other material prepared by the Custodian or its Agent, including translations. The Custodian is not be responsible for inaccuracy or incompleteness of any information in notices or information prepared by other persons, including issuers or Clearance Systems, used by the Custodian to provide any notice to the Client or forwarded by the Custodian to the Client or for the failure of such persons to act to provide any information. 8.3.3. The Custodian shall act on discretionary matters in accordance with Instructions sent within applicable cut off times. The Client agrees that the Custodian will not participate in or take any action concerning any discretionary matter, including shareholder voting, if the Custodian does not receive a timely Instruction. Notwithstanding any other provision in this Agreement, the Custodian will be required to provide shareholder voting services only as specified in a separate proxy services letter agreement between the Custodian and the Client. 8.3.4. The Client acknowledges that in some markets the Custodian or its Agent may be required to vote all Securities of a particular issue for all of its clients in the same way and may not be able to effect split voting without regard to any Instruction.

Notices and Actions Related to Securities. 8.3.1. The Custodian shall promptly notify the Client of all official notices, circulars, reports and announcements (both mandatory and discretionary) in respect of Securities held for the Client received in its capacity as Custodian. With regard to events requiring discretionary action, the Custodian shall advise the Client of the applicable timeframe for taking any action elected by the Client. The Custodian’s 's notice obligation does not include notices, circulars, reports and announcements in regard to a class action.. 302999559 v2 0306937.00100 8.3.2. The Custodian is responsible only for the form, accuracy and content of any notice, circular, report, announcement or other material prepared by the Custodian or its Agent, including translations. The Custodian is not responsible for inaccuracy or incompleteness of any information in notices or information prepared by other persons, including issuers or Clearance Systems, used by the Custodian to provide any notice to the Client or forwarded by the Custodian to the Client or for the failure of such persons to act to provide any information. 8.3.3. The Custodian shall act on discretionary matters in accordance with Instructions sent within applicable cut off times. The Client agrees acknowledges that the Custodian will not participate in or take any action concerning any discretionary matter, including shareholder voting, if the Custodian does not receive a timely Instruction. Notwithstanding any other provision in this Agreement, the Custodian will be required to provide shareholder voting services only as specified in a separate proxy services letter agreement between the Custodian and the Client. 8.3.4. The Client acknowledges that in some markets the Custodian or its Agent may be required to vote all Securities of a particular issue for all of its clients in the same way and may not be able to effect split voting without regard to any Instruction.

Notices and Actions Related to Securities. 8.3.1. 8.3.1 The Custodian shall promptly notify transmit to the Client of all official notices, circulars, reports and announcements (both mandatory and discretionary) in respect of Securities held for the Client received in its capacity as Custodian. With regard to events requiring discretionary action, the Custodian shall advise the Client of the applicable timeframe for taking any action elected by the Client. The For the avoidance of doubt the Custodian’s 's notice obligation does not include notices, circulars, reports and announcements in regard to a class action. 8.3.2. 8.3.2 The Custodian is will be responsible only for the form, accuracy and content of any notice, circular, report, announcement or other material prepared by the Custodian or its Agent, including translations. The ____________________________________________________________________________________________________________ GCSA 0000 00.00.00 NY - (Neg ALTMFX TRUST formerly know as ALTX Trust, JANUARY 6, 2015) Custodian is will not be responsible for inaccuracy errors or incompleteness of any information omissions in notices or information prepared by other persons, including issuers or Clearance Systems, used by the Custodian to provide any notice to the Client or forwarded by the Custodian to the Client or for the failure of such persons to act to provide any informationClient. 8.3.3. 8.3.3 The Custodian shall act on discretionary matters in accordance with Instructions sent within applicable cut off times. The Client agrees acknowledges that the Custodian will not participate in or take any action concerning any discretionary matter, including shareholder voting, if the Custodian does not receive a timely Instruction. Notwithstanding any other provision in this Agreement, the Custodian will be required to provide shareholder voting services only as specified in a separate proxy services letter agreement between the Custodian and the Client. 8.3.4. The Client acknowledges that in some markets the Custodian or its Agent may be required to vote all Securities of a particular issue for all of its clients in the same way and may not be able to effect split voting without regard to any Instruction.

Notices and Actions Related to Securities. 8.3.1. 8.3.1 The Custodian shall promptly notify transmit to the Client of all official notices, circulars, reports and announcements (both mandatory and discretionary) in respect of Securities held for the Client received in its capacity as Custodian. With regard to events requiring discretionary action, the Custodian shall advise the Client of the applicable timeframe for taking any action elected by the Client. The For the avoidance of doubt the Custodian’s 's notice obligation does not include notices, circulars, reports and announcements in regard to a class action. 8.3.2. 8.3.2 The Custodian is will be responsible only for the form, accuracy and content of any notice, circular, report, announcement or other material prepared by the Custodian or its Agent, including translations. The ____________________________________________________________________________________________________________ GCSA 0000 00.00.00 NY - (Neg ALTX TRUST, SEPTEMBER 17, 2014) Custodian is will not be responsible for inaccuracy errors or incompleteness of any information omissions in notices or information prepared by other persons, including issuers or Clearance Systems, used by the Custodian to provide any notice to the Client or forwarded by the Custodian to the Client or for the failure of such persons to act to provide any informationClient. 8.3.3. 8.3.3 The Custodian shall act on discretionary matters in accordance with Instructions sent within applicable cut off times. The Client agrees acknowledges that the Custodian will not participate in or take any action concerning any discretionary matter, including shareholder voting, if the Custodian does not receive a timely Instruction. Notwithstanding any other provision in this Agreement, the Custodian will be required to provide shareholder voting services only as specified in a separate proxy services letter agreement between the Custodian and the Client. 8.3.4. The Client acknowledges that in some markets the Custodian or its Agent may be required to vote all Securities of a particular issue for all of its clients in the same way and may not be able to effect split voting without regard to any Instruction.

Notices and Actions Related to Securities. 8.3.1. 8.3.1 The Custodian shall promptly notify the Client of all official notices, circulars, reports and announcements (both mandatory and discretionary) in respect of Securities held for the Client received in its capacity as Custodian. With regard to events requiring discretionary action, the Custodian shall advise the Client of the applicable timeframe for taking any action elected by the Client. The Custodian’s 's notice obligation does not include notices, circulars, reports and announcements in regard to a class action. 8.3.2. 8.3.2 The Custodian is responsible only for the form, accuracy and content of any notice, circular, report, announcement or other material prepared by the Custodian or its Agent, including translations. The Custodian is not responsible for inaccuracy or incompleteness of any information in notices or information prepared by other persons, including issuers or Clearance Systems, used by the Custodian to provide any notice to the Client or forwarded by the Custodian to the Client or for the failure of such persons to act to provide any information. 8.3.3. 8.3.3 The Custodian shall act on discretionary matters in accordance with Instructions sent within applicable cut off times. The Client agrees that the Custodian will not participate in or take any action concerning any discretionary matter, including shareholder voting, if the Custodian does not receive a timely Instruction. Notwithstanding any other provision in this Agreement, the Custodian will be required to provide shareholder voting services only as specified in a separate proxy services letter agreement between the Custodian and the Client. 8.3.4. 8.3.4 The Client acknowledges that in some markets the Custodian or its Agent may be required to vote all Securities of a particular issue for all of its clients in the same way and may not be able to effect split voting without regard to any Instruction. 8.3.5 The primary method of sending any Instruction and any communication under Clause 7 shall be SFTS or CitiDirect. In the event that SFTS is unavailable, Instructions and communications under Clause 7 may be sent by email to the Custodian's email address set out in Clause 8.3.8. Instructions submitted via SFTS will only be valid if the following protocol is adhered to. An Authorised Representative of the Client whose e-mail address is specified in Schedule 3 Part III (Authorised E-mail Addresses) shall upload in SFTS a pdf copy of the Instruction which shall be in the relevant form set out in Schedule 2 and which shall have been signed by an Authorised Representative of the Client. If the Instruction is approved an SFTS system generated e-mail will be sent to the Custodian which will act upon the Instruction accordingly. 8.3.6 For the avoidance of doubt, Instructions submitted via CitiDirect or SFTS will not be subject to call-back arrangements but Instructions sent by email will be subject to call-back arrangements. 8.3.7 Amendments to Schedule 3 Part I (Authorised Representatives), Schedule 3 Part II (Call- back Contacts) and Schedule 3 Part III (Authorised E-mail Addresses) or any communication under Clause 8.3.12 shall only be sent in original form delivered either in person or by post to the Custodian's address set out in Clause 8.3.8. 8.3.8 All communications required pursuant to this Agreement shall be in writing, in English and may (subject to Clause 8.3.4 and 8.3.5) be given or made in person, by post or email communication addressed to the respective party as follows: (a) if to the Client: 00 Xxxxx Xxxx Solihull West Midlands B91 3QJ United Kingdom Attention: The Directors E-mail: xxxxxxxxx-XX@xxxxxxxxxxxxxxx.xxx (to which account statements may be sent) With a copy to: Attention: The Company Secretary E-mail: xxxxxxx.xxxxxxxxx@xxxxxxxxxxx.xx.xx and xxxxxxxxxxxxxxx@xxxxxxxxxxx.xxx or such other details as the Client may notify to the Custodian by not less than five

Notices and Actions Related to Securities. 8.3.1. 17.1 The Custodian shall promptly notify the Client of all official notices, circulars, reports and announcements (both mandatory and discretionary) in respect of Securities held for the Client received in its capacity as Custodian. With regard to events requiring discretionary action, the Custodian shall advise the Client of the applicable timeframe for taking any action elected by the Client. [The Custodian’s notice obligation does not include notices, circulars, reports and announcements in regard to a class action.] 8.3.2. 17.2 The Custodian is responsible only for the form, accuracy and content of any notice, circular, report, announcement or other material prepared by the Custodian or its Agent, including translations. The Custodian is not responsible for inaccuracy or incompleteness of any information in notices or information prepared by other persons, including issuers or Clearance Systems, used by the Custodian to provide any notice to the Client or forwarded by the Custodian to the Client or for the failure of such persons to act to provide any information. 8.3.3. 17.3 The Custodian shall act on discretionary matters in accordance with Instructions sent within applicable cut off times. The Client agrees that the Custodian will not participate in or take any action concerning any discretionary matter, including shareholder voting, if the Custodian does not receive a timely Instruction. Notwithstanding any other provision in this Agreement, the Custodian will be required to provide shareholder voting services only as specified in a separate proxy services letter agreement between the Custodian and the Client. 8.3.4. The Client acknowledges that in some markets the Custodian or its Agent may be required to vote all Securities of a particular issue for all of its clients in the same way and may not be able to effect split voting without regard to any Instruction.

Notices and Actions Related to Securities. 8.3.1. 8.3.1 The Custodian shall promptly notify the Client of all official notices, circulars, reports and announcements (both mandatory and discretionary) in respect of Securities held for the Client received in its capacity as Custodian. With regard to events requiring discretionary action, the Custodian shall advise the Client of the applicable timeframe for taking any action elected by the Client. The For the avoidance of doubt the Custodian’s 's notice obligation does not include notices, circulars, reports and announcements in regard to a class action. 8.3.2. 8.3.2 The Custodian is will be responsible only for the form, accuracy and content of any notice, circular, report, announcement or other material prepared by the Custodian or its Agent, including translations. The Custodian is will not be responsible for inaccuracy errors or incompleteness of any information omissions in notices or information prepared by other persons, including issuers or Clearance Systems, used by the Custodian to provide any notice to the Client or forwarded by the Custodian to the Client or for the failure of such persons to act to provide any informationClient. 8.3.3. 8.3.3 The Custodian shall act on discretionary matters in accordance with Instructions sent within applicable cut off times. The Client agrees acknowledges that the Custodian will not participate in or take any action concerning any discretionary matter, including shareholder voting, if the Custodian does not receive a timely Instruction. Notwithstanding any other provision in this Agreement, the Custodian will be required to provide shareholder voting services only as specified in a separate proxy services letter agreement between the Custodian and the Client. 8.3.4. 8.3.4 The Client acknowledges that in some markets the Custodian or its Agent may be required to vote all Securities of a particular issue for all of its clients in the same way and may not be able to effect split voting without regard to any Instruction. 8.3.5 The primary method of sending any Instruction and any communication under Clause 7 (Client's Communications) shall be SFTS. In the event that SFTS is unavailable, Instructions and communications under Clause 7 (Client's Communications) may be sent by email to the Custodian's email address set out in clause 18.4(c) of the Bank Agreement. Instructions submitted via SFTS will only be valid if the following protocol is adhered to. An Authorised Representative of the Client whose e-mail address is specified in Part 3 (Authorised E-mail Addresses) of Schedule 3 (Security Procedures) shall upload in SFTS a pdf copy of the Instruction which shall be in the relevant form set out in Schedule 2 (Instructions) and which shall have been signed by an Authorised Representative of the Client. If the Instruction is approved an SFTS system generated e-mail will be sent to the Custodian which will act upon the Instruction accordingly. 8.3.6 For the avoidance of doubt, Instructions submitted via SFTS will not be subject to call-back arrangements but Instructions sent by fax will be subject to call- back arrangements. 8.3.7 Amendments to Part 1 (Authorised Representatives) of Schedule 3 (Security Procedures), Part 2 (Callback Contacts) of Schedule 3 (Security Procedures) and Part 3 (Authorised E-mail Addresses) of Schedule 3 (Security Procedures) or any communication under Clause 8.3.8 below shall only be sent in original form delivered either in person or by post to the Custodian's address set out in clause 18.4(c) of the Bank Agreement. 8.3.8 The Client shall provide from time to time the list of Authorised Representatives, Call-Back Contacts and Authorised E-mail Addresses as specified in Part 1 (Authorised Representatives) of Schedule 3 (Security Procedures), Part 2 (Callback Contacts) of Schedule 3 (Security Procedures) and Part 3 (Authorised E-mail Addresses) of Schedule 3 (Security Procedures). The Client undertakes to give the Custodian not less than five (5) clear Business Days' notice in writing in accordance with Clause 8 (Actions by the Custodian and Asset Services) of any amendment to their Authorised Representatives, Call-Back Contacts or Authorised E-mail Addresses giving the details specified in the relevant part of Schedule 3 (Security Procedures). Any amendment of the Authorised Representatives, Call-Back Contacts or Authorised E-mail Addresses of the Client shall take effect upon the expiry of such notice period (or such shorter period as agreed by the Custodian in its absolute discretion). The Client further acknowledges and agrees that the Custodian may rely upon Instructions uploaded into SFTS via an Authorised E-mail Address and, where applicable, the confirmations or responses of anyone purporting to be the Call-back Contact in answering the telephone call-back of the Custodian and that the Client shall assume all risks and losses (if any) resulting from fraudulent use of an Authorised E-mail Address to upload Instructions into SFTS or such confirmations or responses.