At the conclusion of the agreement, the securities are transferred back to the local agency in return for the collateral.Īsset management means a systematic process of operating and maintaining the state system of During the term of the agreement, both the securities and the collateral are held by a third party. Securities Lending Agreement means an agreement under which a local agency agrees to transfer securities to a borrower who, in turn, agrees to provide collateral to the local agency. Private Capital means, if the Issuer is Matching Private Investment Supported (as defined in the Definitive Agreement), the equity capital received by the Issuer or the applicable Affiliate of the Issuer from one or more non-governmental investors in accordance with Section 1.3(m) of the Definitive Agreement.Īsset Management Company/UTI AMC/AMC/Investment Manager means the UTI Asset Management Company Limited incorporated under the Companies Act, 1956, (1 of 1956) and approved as such by Securities and Exchange Board of India (SEBI) under sub-regulation (2) of Regulation 21 to act as the Investment Manager to the schemes of UTI Mutual Fund. LLC means any Person that is a limited liability company under the laws of its jurisdiction of formation. Morgan Stanley Investment Management or “MSIM” means the companies and businesses comprising Morgan Stanley’s Investment Management Division. Wells Fargo Securities means Wells Fargo Securities, LLC. Name of Underwriter Number of Initial Securities Merrill Lynch, Pierce, Fenner & Smith Incorporated Leerink Partners LLC JMP Securities LLC Wedbush Securities Inc. SCHEDULE A Name of Underwriter Number of Initial Securities Leerink Swann LLC Cowen and Company, LLC Needham & Company, LLC JMP Securities LLC Total SCHEDULE B Hyperion Therapeutics, Inc. Pacific provisioned the line-shared xDSL loops the CLECs’ ordered in an average of 3.16 days in the Bay, 3.15 days in LA, and 3.14 days in both North and South, respectively, during the months of June, July and August 2001. JMP Securities LLC Keefe, Bruyette & Woods, Inc. Incorporated UBS Securities LLC RBC Capital Markets, LLC FBR Capital Markets & Co. SCHEDULE A Name of Underwriter Number of Initial Securities Merrill Lynch, Pierce, Fenner & Smith Incorporated Goldman Sachs & Co. $ 6,250,000 Total $ 250,000,000 SCHEDULE II PRICING SUPPLEMENT AugEnova International, Inc.ĬREDIT SUISSE SECURITIES (USA) LLC By: Name: Title: By MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED By: Name: Title: Acting on behalf of themselves and as the Representatives of the several Underwriters SCHEDULE A Underwriter Number of Firm Securities Credit Suisse Securities (USA) LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated JMP Securities LLC William Blair & Company, L.L.C. JMP Securities LLC BMO Capital Markets Corp.įisher Title: Chief Executive Officer Accepted and Agreed to: JEFFERIES LLC By: /s/ Jonathan Shapiro Name: Jonathan Shapiro Title: Managing Director SCHEDULE I INITIAL PURCHASERS Initial Purchasers Principal Amount Jefferies LLC $ 200,000,000 JMP Securities LLC $ 37,500,000 UBS Securities LLC $ 6,250,000 William Blair & Company, L.L.C. Incorporated William Blair & Company, L.L.C.
Research reports indicate that firms find themselves in various problems traceable to lack of strategic planning.īaird & Co. JMP Securities LLC Wunderlich Securities, Inc.
Schedule I Number of Initial Underwriter Shares to be Purchased FBR Capital Markets & Co. Examples of JMP Securities LLC ( in a sentenceīy: Cowen and Company, LLC By: Name: Title: SCHEDULE A Name Number of Shares of Firm Stock to be Purchased Number of Shares of Optional Stock to be Purchased Cowen and Company, LLC _ _ JMP Securities LLC _ _ Total - 29 - SCHEDULE B Alan Milinazzo Craig Shore Eli Bar Robert Ratini Sol J.