Cal. Code Regs. Tit. 2, div. 2, ch. 4, subch. 4, art. 4, app B

Current through Register 2024 Notice Reg. No. 45, November 8, 2024

Appendix B - State of California Office of the State Treasurer Target Business Enterprise Participation in Professional Bond Services Report

COMPETITIVE SALES

(To be completed by Senior Manager)

In accordance with the Notice of Sale, this report is to be completed and returned to the State Treasurer's Office, Trust Services Division; 915 Capitol Mall, Room 107; Sacramento, CA 95814 within 10 days of closing of the issue referenced below.

___________________________

Issuer

___________________________

Issue Description

Series ______________________________ Amount $ __________________________________________________ Date Sold __________________________________________________

___________________________

Senior Manager

Contact Person ________________________________________________________________________________ Phone __________________________________________________

A. GROSS SPREAD

1. TAKEDOWN

Gross Takedown	___________________________$

Pricing Adjustment	___________________________

Less:

Allowable Concessions

Net Takedown		___________________________$

2. SYNDICATE PROFIT & LOSS

Net Proceeds from Sale of Bonds	___________________________$

Cost of Bonds Sold	___________________________

Gross Profit	___________________________$

Less Expenses:	___________________________

Net Profit		___________________________$

3. SUMMARY OF GROSS SPREAD

Gross Takedown	___________________________$

Expenses	___________________________

Syndicate Profit & Loss	___________________________

Total Gross Spread		___________________________$

4. RECONCILIATION OF GROSS SPREAD TO RE-OFFERING PRICE

	Re-offering Price	___________________________$

	Bid Price	___________________________

	Difference between bid price & re-offering price		___________________________

	Difference (Explain)		___________________________$

______________________________________________________

______________________________________________________

B. TBE PARTICIPATION

1. TBE firms¹ Takedown and Share of Syndicate Profit & Loss.

Name of TBE Firm	Net Takedown ($)	%	Share of Syndicate ($)	P & L (%)

___________________________	___________________________	___________________________	___________________________	___________________________
___________________________	___________________________	___________________________	___________________________	___________________________
___________________________	___________________________	___________________________	___________________________	___________________________
___________________________	___________________________	___________________________	___________________________	___________________________
___________________________	___________________________	___________________________	___________________________	___________________________
___________________________	___________________________	___________________________	___________________________	___________________________

2. Expenses incurred by the underwriter(s) and paid to TBE firms for "Professional Bond Services" (PBS). [Under the Treasurer's regulations, "Professional Bond Services" means services directly participating in the sale of bonds including, but not limited to, financial advisors, underwriters, bond counsel, underwriter's counsel, financial printers, feasibility consultants, accountants and auditors.]

Name of TBE Firm	Services Provided	Total Fees Paid ($)	Percentage of PBS Fees Paid to TBE (%)

___________________________	___________________________	___________________________	___________________________

___________________________	___________________________	___________________________	___________________________

___________________________	___________________________	___________________________	___________________________

___________________________	___________________________	___________________________	___________________________

___________________________	___________________________	___________________________	___________________________

Cal. Code Regs. Tit. 2, div. 2, ch. 4, subch. 4, art. 4, app B

1. New Plate B42 filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).