AGREEMENT CONCERNING FIDUCIARY ENGAGEMENTS AND PROCESS REQUIREMENTS FOR EMPLOYER STOCK TRANSACTIONSFiduciary Engagement Agreement • October 12th, 2015
The Secretary of the United States Department of Labor (the “Secretary”) and GreatBanc Trust Company (“the Trustee"), by and through their attorneys, have agreed that the policies and procedures described below apply whenever the Trustee serves as a trustee or other fiduciary of any employee stock ownership plan subject to Title I of ERISA ("ESOP") in connection with transactions in which the ESOP is purchasing or selling, is contemplating purchasing or selling, or receives an offer to purchase or sell, employer securities that are not publicly traded.
EXHIBIT AFiduciary Engagement Agreement • May 16th, 2019
The Secretary of Labor (the "Secretary") and James F. Joyner, III (the "Trustee") agree that the policies and procedures described below (the "Process Agreement") apply whenever the Trustee serves as a trustee or other fiduciary of any employee stock ownership plan ("ESOP") subject to Title I of the Employee Retirement Income Security Act of 1974, as amended ("ERISA"), in connection with transactions in which the ESOP is purchasing or selling, is contemplating purchasing or selling, or receives an offer to purchase or sell, employer securities that are not publicly traded.
FIDUCIARY ENGAGEMENT AGREEMENT FORFiduciary Engagement Agreement • August 21st, 2018
This Fiduciary Engagement Agreement for Municipal Advisory Services (“Agreement”) is made this day of , 2018, by and between Unified School District No. 497, Douglas County, Kansas (Lawrence) (“Issuer”), and George K. Baum & Company, located at 4801 Main Street, Kansas City, Missouri 64112 (“GKB”).
FIDUCIARY ENGAGEMENT AGREEMENT FORFiduciary Engagement Agreement • April 28th, 2017
This Fiduciary Engagement Agreement for Municipal Advisory Services (“Agreement”) is made this day of April, 2017, by and between the City of McPherson, Kansas (“Issuer”), and George K. Baum & Company, located at 4801 Main Street, Kansas City, MO 64112 (“GKB”).
