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8717-14 Adopting post-issuance compliance procedures
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8717-14 Adopting post-issuance compliance procedures
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"Investment Property" means investment property within the meaning of Sections <br />148(b)(2) and 148(b)(3), including any security (within the meaning of Section 165(g)(2)(A) or <br />(B)), any obligation, any annuity contract and any other investment -type property (including <br />certain residential rental property for family units as described in Section 148(b)(2)(E) in the <br />case of any bond other than a Private Activity Bond). Investment Property includes a Tax - <br />Exempt Obligation that is a "specified private activity bond" as defined in Section 57(a)(5)(C) <br />but does not include other Tax - Exempt Obligations. <br />"Issuance Costs" means any financial, legal, administrative and other fees or costs <br />incurred in connection with the issuance of a series of obligations, including any underwriter's <br />compensation withheld from the Issue Price. <br />"Issuance Date" means the date of physical delivery of a series of obligations by the City <br />in exchange for the purchase price of the series of obligations. <br />"Issue Price" means in the circumstances applicable to the series of obligations: <br />(1) Public Offering. In the case of obligations actually offered to the general <br />public in a bona fide public offering at the initial offering price for each maturity set forth <br />in the Certificate of the Underwriter or Placement Agent attached to the tax certificate, <br />the aggregate of the initial offering price for each maturity (including any Pre - Issuance <br />Accrued Interest and original issue premium), which is not more than the fair market <br />value thereof as of the Sale Date, and at which initial offering price not less than 10% of <br />the principal amount of each maturity, as of the Sale Date, was sold or reasonably <br />expected to be sold (other than to bond houses, brokers or other intermediaries). In the <br />case of publicly offered obligations that are not described in the preceding sentence, Issue <br />Price means the aggregate of the initial offering price to the public of each maturity set <br />forth in the Certificate of the Underwriter or Placement Agent attached to the tax <br />certificate, which is not more than the fair market value thereof as of the Sale Date, and at <br />which initial offering price not less than 10% of the principal amount of each maturity <br />was sold to the public. <br />(2) Private Placement. In the case of obligations sold by private placement, <br />the aggregate of the prices, including any Pre - Issuance Accrued Interest and original <br />issue premium, paid to the City by the first purchaser(s) (other than bond houses, brokers <br />or other intermediaries). <br />" Nonpurpose Investments" means any Investment Property that is acquired with Gross <br />Proceeds as an investment and not in carrying out any governmental purpose of the series of <br />obligations. " Nonpurpose Investments" does not include any investment that is not regarded as <br />"investment property" or a "nonpurpose investment" for the particular purposes of Section 148 <br />(such as certain investments in U.S. Treasury obligations in the State and Local Government <br />Series and certain temporary investments), but does include any other investment that is a <br />"nonpurpose investment" within the applicable meaning of Section 148. <br />A -3 <br />
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